Investment Compliance Analyst

Pure Search; New York (NY); On-site; USD 70,000 - 110,000; Full time

Job summary

Pure Search is seeking an early-career financial‑services compliance professional in New York to join our surveillance and conflicts program. Responsibilities include identifying and managing conflicts of interest, maintaining watch lists, and supporting information barriers across the firm.

The ideal candidate has 1–3 years of experience in compliance and surveillance, familiarity with MNPI, and strong organizational skills.

Qualifications

• 1–3 years of relevant financial-services compliance experience.
• Experience in surveillance, employee compliance, conflicts or related area preferred.
• Buy-side, investment-management or broker-dealer experience advantageous.
• Familiarity with MNPI, information barriers or personal trading.
• Sound judgment and the confidence to escalate issues appropriately.
• Strong organization, attention to detail and communication skills.
• Able to manage competing priorities in a fast-paced environment.
• SIE or FINRA qualifications helpful; sponsorship is available where required.

Responsibilities

• Identify, escape and manage potential conflicts of interest.
• Maintain firmwide watch and restricted lists.
• Support MNPI controls, wall-crossings and information barriers.
• Conduct trade and electronic communications surveillance.
• Review employee trading, private investments and outside business activities.
• Coordinate with deal teams, Legal, Compliance and external counsel.
• Review and process firm trade requests.
• Support related policies, systems and compliance projects.

Skills

Compliance experience

Surveillance

Attention to detail

Communication skills

Prioritization

SIE/FINRA knowledge

Education

SIE/FINRA qualification

Job description

Key responsibilities:

• Identify, escape and manage potential conflicts of interest
• Maintain firmwide watch and restricted lists
• Support MNPI controls, wall-crossings and information barriers
• Conduct trade and electronic communications surveillance
• Review employee trading, private investments and outside business activities
• Coordinate with deal teams, Legal, Compliance and external counsel
• Review and process firm trade requests
• Support related policies, systems and compliance projects

About you:

• One to three years of relevant financial-services compliance experience
• Experience in surveillance, employee compliance, conflicts or a related area preferred
• Buy-side, investment-management or broker-dealer experience advantageous
• Familiarity with MNPI, information barriers or personal trading
• Sound judgment and the confidence to escape issues appropriately
• Strong organization, attention to detail and communication skills
• Able to manage competing priorities in a fast-paced environment
• SIE or FINRA qualifications helpful; sponsorship is available where required

We’re interested in speaking withadjacent compliance and surveillance professionals with strong fundamentals and the potential to develop under experienced leadership.