Investment Compliance Analyst
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-09-20
Listing for:
Pure Search
Full Time
position Listed on 2026-09-20
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
Key responsibilities:
- Identify, escape and manage potential conflicts of interest
- Maintain firmwide watch and restricted lists
- Support MNPI controls, wall-crossings and information barriers
- Conduct trade and electronic communications surveillance
- Review employee trading, private investments and outside business activities
- Coordinate with deal teams, Legal, Compliance and external counsel
- Review and process firm trade requests
- Support related policies, systems and compliance projects
About you:
- One to three years of relevant financial-services compliance experience
- Experience in surveillance, employee compliance, conflicts or a related area preferred
- Buy-side, investment-management or broker-dealer experience advantageous
- Familiarity with MNPI, information barriers or personal trading
- Sound judgment and the confidence to escape issues appropriately
- Strong organization, attention to detail and communication skills
- Able to manage competing priorities in a fast-paced environment
- SIE or FINRA qualifications helpful; sponsorship is available where required
We’re interested in speaking with adjacent compliance and surveillance professionals with strong fundamentals and the potential to develop under experienced leadership.
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