Compliance Analyst

DC Advisory; New York (NY); Hybrid; USD 80,000 - 100,000; Full time

Benefits offered by this job

Health Insurance

Dental Insurance

Vision Insurance

401K

Job summary

DC Advisory, an international investment bank, seeks an analyst for its New York office to join the compliance team. You will contribute to policy guidance, FINRA filings, and regulatory investigations while supporting onboarding and ongoing compliance initiatives.

The role emphasizes ethics, confidentiality, and professionalism in a fast-paced financial services environment with a hybrid work arrangement.

Qualifications

• Education: Bachelor’s degree is required.
• Experience: At least two (2) years of experience in a compliance position in financial services.

Responsibilities

• Provide guidance to business units on policies related to the Compliance Manual, Code of Ethics, and related areas.
• Prepare and submit regulatory filings with FINRA (Form U4s/U5s) and assist with examinations and investigations.
• Review and approve employee compliance-related requests in the internal system (gifts/entertainment, etc.).
• Manage personal trading program elements including disclosures and pre-approvals.
• Support onboarding, certifications, disclosures, training, and offboarding procedures.
• Support compliance projects, workflow enhancements, and process improvements across systems.

Skills

Personal integrity

Initiative

Leadership

Time management

Attention to detail

Teamwork

Communication skills

Maturity

Education

Bachelor’s degree

Tools

Microsoft Office

Job description

DC Advisory is an international investment bank committed to making a difference. As part of an established global business, we offer access to over 750 professionals in 24 locations throughout Asia, Europe, and the US. Across 11 industry-focused teams, we offer tailored, independent advice on M&A, debt raisings and restructurings, private capital, and access to unrivalled Asia investment knowledge. For more information, visit www.dcadvisory.com

The Role:

Our DC Advisory New York office seeks an analyst to work alongside the Firm’s legal and compliance teams. This position offers the opportunity for broad exposure to a variety of compliance and regulatory workstreams and the chance to be part of larger strategic discussions around the Firm’s compliance processes on a forward-looking basis.

The role will play an important part in helping prevent and detect violations of applicable laws, rules, regulatory requirements and Firm policies and is a key part of the Firm’s focus on promoting a high standard of ethics, professionalism and accountability internally.

Some of the key workstreams will include:

• Providing guidance to the business units when issues arise on policies related to the Compliance Manual, Code of Ethics, Restricted List, Anti-Money Laundering/Know Your Customer policies, Outside Business Activities, Gifts/Entertainment, etc.
• Preparing and submitting regulatory filings with FINRA (such as Form U4s and U5s) and assisting with regulatory examinations, inquiries, investigations and projects in tandem with the legal team, as necessary.
• Reviewing and approving employee compliance-related requests in the internal compliance system (e.g. gifts/entertainment, political contributions, and private investments).
• Managing key elements of the personal trading program, including account disclosures, pre-approval requests and reconciliations.
• Supporting employee onboarding, certifications, disclosures, training requirements, and compliance-related offboarding procedures.
• Supporting compliance projects, workflow enhancements, and operational improvements across compliance systems and procedures.

Position Requirements:

• Education: Bachelor’s degree is required
• Experience: At least two (2) years of experience working in a compliance position and a strong interest in acting in a compliance role within the highly regulated financial services industry
• Sound judgment, discretion and a strong commitment to confidentiality and professionalism

Preferred:

• Exposure to regulatory compliance or risk management within the financial services sector
• Experience with the FINRA regulatory framework

Qualities we seek include:

• Personal integrity, initiative and leadership qualities
• Strong multi-tasking and time management skills
• An unwavering commitment to excellence and a high degree of maturity
• A high level of initiative, motivation, attention to detail, positive attitude, and the ability to excel in a fast-paced, entrepreneurial, high performance work environment
• An outstanding academic record
• The ability to work as part of a team in an environment that demands excellence, time and energy
• Strong quantitative, verbal and written communication skills; familiarity with the financial services industry a plus
• Highly proficient with Microsoft Office suite
• Salary Range: $80,000 - $100,000 + annual discretionary bonus
• Medical / Dental / Vision Insurance
• Pet Insurance
• Health Savings Account
• Retirement Plans (401K)

Working Arrangement:

• Please note this position will operate in a hybrid capacity with four days on-site in our office (Monday - Thursday) with the option to work from home on Fridays.