Job Description

Junior Compliance Analyst

Location: New York, NY

RTO: 4 days in office

Department: Compliance

Position Summary:

The Jr. Compliance Analyst will play a critical role in supporting the firm’s compliance program, focusing on electronic surveillance, monitoring and testing, new hire onboarding, and regulatory obligations. This role involves daily interaction with cross-functional teams and requires strong attention to detail, organizational skills, and the ability to manage multiple priorities.

Key Responsibilities:

E-Surveillance Monitoring & Testing

• Monitor electronic communications to ensure compliance with the firm’s supervisory obligations.
• Conduct routine and ad hoc compliance testing and monitoring reviews.
• Perform monthly and quarterly reporting, trend analysis, and escalation of findings.
• Maintain the firm’s electronic communication archiving and surveillance systems (e.g., Global Relay).

New Hire Onboarding

• Coordinate with Recruiting and Human Capital Management on compliance aspects of new hires.
• Manage the compliance onboarding process, including sending welcome emails and collecting necessary documentation.

Compliance Approvals and Disclosures

• Review and process employee disclosures and approval requests through ComplySci, including:
• Personal trading
• Private investments
• Outside business activities (OBA)
• Political contributions
• Input and maintain employee data in the system (onboarding, offboarding, and periodic updates).
• Perform regular data integrity checks.
• Oversee the gifts and entertainment approval process.

Regulatory Training Support

• Assist in identifying training needs and relevant compliance topics.
• Update training materials and presentations.
• Conduct compliance training sessions when needed.

Audits, Regulatory Exams & Investigations

• Support the Compliance team in responding to regulatory examinations and investigations, including data production and analysis.
• Assist in conducting internal audits to ensure the accuracy of books and records.

Reporting & Metrics

• Aid in the preparation of management-level reporting and compliance metrics.

Policies, Procedures, and Standards

• Assist with drafting, updating, and maintaining compliance policies, procedures, and operating standards.

Projects

• Support various compliance-related projects and initiatives as needed.

Qualifications:

• Bachelor’s degree required; degree in Finance, Business, Legal Studies, or related field preferred.
• 1–2 years of experience in a compliance, operations, or surveillance-related role, preferably within financial services.
• Familiarity with compliance systems such as Global Relay and ComplySci is a plus.
• Strong analytical and organizational skills with the ability to manage multiple priorities.
• Excellent written and verbal communication skills.
• Proficiency in Microsoft Excel, PowerPoint, and Word.

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