Compliance Analyst - Investment Advisory

AscendHire Inc.; New York (NY); On-site; USD 110,000 - 130,000; Full time

Job summary

A leading investment advisory firm seeks a Compliance Analyst to enhance data-driven compliance strategies and ensure adherence to industry regulations. This role offers the chance to work collaboratively with senior leadership while benefitting from extensive professional development and a supportive work environment that emphasizes work-life balance. The ideal candidate will have a strong foundation in compliance frameworks, regulatory knowledge, and excellent analytical skills.

Benefits

100% employer-paid medical coverage

Generous parental leave

Wellness programs

401(k) retirement contributions

Qualifications

• At least 3 years of compliance experience within investment management.
• Knowledge of key securities regulations.
• Proficient in Microsoft 365, especially Excel.

Responsibilities

• Automate compliance reporting processes to improve transparency.
• Monitor compliance protocols related to personal trading and employee conduct.
• Support regulatory filings and assist in compliance reviews.

Skills

Data-driven compliance

Analytical acumen

Communication skills

Attention to detail

Education

Bachelor's degree

Tools

Microsoft 365

Excel

Power BI

Job description

Compliance Analyst - Investment Advisory

New York City Metropolitan Area

Compliance Analyst - Investment Advisory

AscendHire Inc. New York City Metropolitan Area

This range is provided by AscendHire Inc.. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$110,000.00/yr - $130,000.00/yr

Additional compensation types

Annual Bonus

Direct message the job poster from AscendHire Inc.

Compliance Analyst – Investment Advisory

Location: Midtown, NYC

Compensation: $110,000 – $130,000 (DOE) + Discretionary Bonus

Ignite Your Compliance Career at a Global Investment Leader

Are you ready to elevate your career in compliance with one of the world’s most respected privately held investment firms? With over $185 billion in Assets Under Management, our client is recognized for its steadfast dedication to integrity, innovation, and excellence in client service. This is more than a job—it’s a launchpad for long-term professional growth, impact, and recognition in a high-performing, globally connected environment. As the firm continues to scale, they are seeking a driven and analytical Compliance Analyst to join their Investment Advisory Compliance team.

This high-impact role is ideal for someone passionate about data-driven compliance, regulatory innovation, and cross-functional collaboration.

Why This Opportunity Stands Out

• Be Seen and Heard: Work in close partnership with senior leadership and key stakeholders on high-visibility compliance initiatives.
• Grow Your Technical Edge: Leverage your skills in automation, reporting, and data analytics to modernize compliance frameworks.
• Advance With Purpose: Join a firm that invests in your development, offers exposure to diverse projects, and creates a clear path to advancement.
• Balance That Works: Enjoy a hybrid schedule, robust benefits, and a workplace culture that truly values work-life harmony.

What You’ll Do

• Automate and optimize compliance reporting processes using analytics tools to drive transparency and efficiency.
• Collaborate with compliance and technology teams to improve workflow automation and controls.
• Monitor and enhance compliance protocols related to the Firm’s Code of Ethics, personal trading, and employee conduct policies.
• Lead forensic testing and ongoing monitoring of compliance activities; implement corrective actions as needed.
• Oversee third-party expert network and alternative data providers, including due diligence and ongoing reviews.
• Support regulatory filings such as Form ADV, Form PF, and Section 13, while staying ahead of industry developments and regulatory changes.
• Assist in internal and external audits and the firm’s annual compliance review process.

What You Bring to the Table

• Bachelor's degree and at least 3 years of compliance experience within investment management.
• Knowledge of personal trading, employee conduct, code of ethics, etc, and key securities regulations.
• Proficiency in Microsoft 365 (Excel required; Power BI a plus).
• Strong analytical acumen and attention to detail.
• Excellent communication skills with the ability to interact confidently with stakeholders at all levels.
• Proven ability to manage priorities in a dynamic, fast-paced environment.

Benefits That Go Beyond the Paycheck

• Base Salary: $110,000 – $130,000 (DOE) + discretionary bonus and long-term growth potential.
• Premier Benefits Package: 100% employer-paid medical, dental, and vision coverage, generous parental leave, wellness programs, family planning resources, and retirement/profit-sharing contributions.
• Hybrid Work Flexibility:Designed to support productivity and personal well-being.

Make a Strategic Move

If you’re looking for a role where you can contribute meaningfully from day one, enhance your skill set, and grow within a forward-thinking investment organization, this is your moment. Apply Now!

Seniority level

• Seniority level

  Associate

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal and Finance

• Industries

  Investment Management, Financial Services, and Capital Markets

Featured Benefits

Inferred from the description for this job

Medical insurance

Pension plan

Disability insurance

Student loan assistance

Child care support

Vision insurance

Paid maternity leave

Tuition assistance

Paid paternity leave

401(k)

Get notified about new Compliance Analyst jobs in New York City Metropolitan Area.

New York City Metropolitan Area $125,000.00-$203,000.00 1 week ago

New York, NY $90,000.00-$105,000.00 1 week ago

New York City Metropolitan Area $120,000.00-$140,000.00 4 weeks ago

New York City Metropolitan Area $130,000.00-$200,000.00 2 weeks ago

New York City Metropolitan Area 3 weeks ago

New York City Metropolitan Area $100,000.00-$125,000.00 2 weeks ago

New York City Metropolitan Area $130,000.00-$140,000.00 4 days ago

Senior Compliance Officer – U.S. Markets Compliance Advisory

New York City Metropolitan Area $125,000.00-$140,000.00 4 weeks ago

New York City Metropolitan Area 2 weeks ago

New York City Metropolitan Area $100,000.00-$135,000.00 4 weeks ago

Compliance Officer, Investment Banking & Capital Markets

New York, NY $175,000.00-$225,000.00 3 weeks ago

New York City Metropolitan Area 2 weeks ago

New York City Metropolitan Area $180,000.00-$250,000.00 5 days ago

Global Risk and Compliance Policy Officer

New York, NY $190,000.00-$240,000.00 2 weeks ago

Regulatory Affairs Compliance Sr. Specialist

Princeton, NJ $93,800.00-$174,200.00 1 week ago

New York, NY $130,000.00-$150,000.00 1 week ago

Poughkeepsie, NY $72,333.00-$88,662.00 1 week ago

New York, NY $150,000.00-$175,000.00 1 week ago

New York, NY $125,000.00-$160,000.00 3 weeks ago

New York, NY $81,000.00-$141,750.00 6 days ago

New York City Metropolitan Area $100,000.00-$140,000.00 2 weeks ago

New York, NY $90,000.00-$165,000.00 1 week ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.