Fund Compliance Analyst: Regulatory Risk & Controls

TEEMA Solutions Group; New York (NY); On-site; USD 140,000 - 185,000; Full time

Job summary

A financial services firm in New York is seeking a Fund Compliance Analyst to ensure fund operations meet compliance standards. The role blends compliance monitoring with operational oversight, ideal for someone with a degree in finance or related fields. The successful candidate must demonstrate strong analytical skills and proficiency in Excel, collaborating with various stakeholders to uphold regulatory guidelines. This is a full-time position with competitive compensation ranging from $140,000 to $185,000 annually.

Qualifications

• Understanding of fund compliance, regulatory frameworks, and investment fund operations.
• Familiarity with SEC, FINRA, CFTC, or other relevant regulatory requirements.
• Interest in fund compliance, regulatory monitoring, and risk management.

Responsibilities

• Monitor fund operations to ensure compliance with internal policies and regulatory requirements.
• Assist in the development of compliance programs and procedures.
• Conduct compliance testing, risk assessments, and audits.

Skills

Analytical skills

Organizational skills

Communication skills

Education

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

Tools

Excel

Compliance software

Data analysis tools

Job description

A financial services firm in New York is seeking a Fund Compliance Analyst to ensure fund operations meet compliance standards. The role blends compliance monitoring with operational oversight, ideal for someone with a degree in finance or related fields. The successful candidate must demonstrate strong analytical skills and proficiency in Excel, collaborating with various stakeholders to uphold regulatory guidelines. This is a full-time position with competitive compensation ranging from $140,000 to $185,000 annually.