Fund Compliance Analyst

Career Launch AI; San Francisco (CA); On-site; USD 140,000 - 185,000; Full time

Job summary

A leading talent network for compliance roles is seeking a Fund Compliance Analyst to support fund operations and investment teams. This role involves monitoring compliance with internal policies, assisting in compliance program development, and ensuring adherence to regulatory requirements. Ideal candidates hold a Bachelor's degree in a relevant field and possess strong analytical and organizational skills. This position offers a collaborative environment working closely with legal and risk management teams.

Qualifications

• Understanding of fund compliance and regulatory frameworks.
• Familiarity with SEC, FINRA, CFTC regulations.
• Interest in fund compliance and regulatory monitoring.

Responsibilities

• Monitor fund operations for compliance with internal policies.
• Assist in developing and maintaining compliance programs.
• Review fund documentation for compliance adherence.
• Track regulatory filings and reporting deadlines.
• Conduct compliance testing and internal audits.
• Report compliance issues to senior management.
• Support regulatory reporting and audits.
• Maintain accurate records of compliance activities.

Skills

Strong analytical skills

Organizational skills

Detail-oriented

Clear communication skills

Ability to work with multiple stakeholders

Education

Bachelor’s degree in Finance, Economics, Law, Accounting, or related field

Tools

Excel

Compliance software

Job description

Location: New York, NY
Employment Type: Full-Time
Estimated Compensation:
$140,000 – $185,000 total annual compensation (varies by employer)

About This Posting

This job description represents a sample Fund Compliance Analyst position commonly found through the Career Launch AI Talent Network. It is intended to help job seekers understand the responsibilities and qualifications typically associated with early-career roles in fund compliance, regulatory oversight, and internal control for investment funds.

Actual openings may vary based on employer type (e.g., private equity, hedge funds, venture capital, or alternative asset managers) and the specific regulatory framework they operate under.

For more information on the Career Launch AI Talent Network, visit:
https://www.careerlaunch.ai/

Position Overview

Fund Compliance Analysts support fund operations and investment teams by monitoring adherence to internal policies, regulatory requirements, and industry best practices. The role blends analytical rigor, regulatory awareness, and operational oversight to ensure that funds operate within legal, regulatory, and risk parameters.

These roles often involve collaboration with legal, operations, risk management, and fund administration teams.

Key Responsibilities

Monitor fund operations to ensure compliance with internal policies, regulatory requirements, and investor agreements

Assist in the development, implementation, and maintenance of compliance programs and procedures

Review fund documentation, investor communications, and transaction records for compliance adherence

Track regulatory filings, reporting deadlines, and changes in relevant laws and regulations

Conduct compliance testing, risk assessments, and internal audits of fund activities

Identify, report, and escalation compliance issues or breaches to senior management

Support ongoing regulatory reporting and audits from authorities or external auditors

Maintain accurate records of compliance activities and create compliance dashboards and reports

Preferred Qualifications

Bachelor’s degree in Finance, Economics, Law, Accounting, or a related field

Understanding of fund compliance, regulatory frameworks, and investment fund operations

Familiarity with SEC, FINRA, CFTC, or other relevant regulatory requirements

Strong analytical and organizational skills with attention to detail

Proficiency in Excel; experience with compliance software or data analysis tools is a plus

Ability to work effectively with multiple stakeholders in a fast-paced environment

Clear written and verbal communication skills

Interest in fund compliance, regulatory monitoring, and risk management

About the Career Launch AI Talent Network

The Career Launch AI Talent Network helps job seekers pursue opportunities similar to this role through:

Skills-based role matching

Resume and profile optimization

Guidance on outreach to fund compliance and operations teams

Interview preparation for compliance, regulatory, and fund operations roles

To learn more or express interest in fund compliance roles, visit:
https://www.careerlaunch.ai/