Investment Compliance Analyst

Atlantic Group; Stamford (CT); Hybrid; USD 52,000 - 58,000; Full time

Job summary

Atlantic Group is seeking an Investment Compliance Analyst in Stamford, CT focused on monitoring trading activity, ensuring portfolio compliance, and oversight of investment guidelines. The role involves analyzing activity, generating reports, and supporting risk reviews using Excel and SQL.

The candidate will perform ongoing compliance monitoring, prepare reporting, and collaborate with internal teams to address any exceptions or regulatory concerns. Hybrid schedule in Stamford, CT.

Qualifications

• Bachelor’s degree in Finance, Economics, Accounting, Mathematics, Computer Science, or a related field.
• 1–2 years of investment compliance, investment operations, trade support, financial analysis, or related experience preferred.
• Knowledge of financial markets, investment products, and portfolio compliance preferred.
• Strong Microsoft Excel and data analysis skills required; SQL or other analytical tools preferred.

Responsibilities

• Trade Compliance: Review trading activity and portfolio transactions for adherence to investment guidelines and compliance requirements.
• Compliance Analytics: Analyze investment activity and develop reports to identify potential compliance exceptions.
• Investment Review: Support compliance reviews of investment activity, transactions, and related documentation.
• Compliance Monitoring: Perform ongoing monitoring and testing to support regulatory and internal compliance requirements.
• Reporting & Support: Prepare compliance reporting, research potential exceptions, and collaborate with internal teams on compliance matters.

Skills

Excel

Data analysis

SQL

Education

Bachelor's degree in Finance, Economics, Accounting, Mathematics, Computer Science

Tools

SQL

Job description

Job Overview – Investment Compliance Analyst

Compensation: $40/hour

Location: Stamford, CT

Schedule: Monday to Friday (Hybrid)

Atlantic Group is hiring an Investment Compliance Analyst in Stamford, CT for our client, supporting trade monitoring, portfolio compliance, and investment guideline oversight. This role will analyze trading activity, develop compliance reporting, support trade allocation reviews, and use SQL and Excel to identify potential exceptions across investment portfolios.

Responsibilities as the Investment Compliance Analyst:

• Trade Compliance: Review trading activity and portfolio transactions for adherence to investment guidelines and compliance requirements.
• Compliance Analytics: Analyze investment activity and develop reports to identify potential compliance exceptions.
• Investment Review: Support compliance reviews of investment activity, transactions, and related documentation.
• Compliance Monitoring: Perform ongoing monitoring and testing to support regulatory and internal compliance requirements.
• Reporting & Support: Prepare compliance reporting, research potential exceptions, and collaborate with internal teams on compliance matters.

Qualifications for the Investment Compliance Analyst:

• Education: Bachelor's degree in Finance, Economics, Accounting, Mathematics, Computer Science, or a related field is required.
• Experience: 1-2 years of investment compliance, investment operations, trade support, financial analysis, or related experience is preferred.
• Industry Knowledge: Knowledge of financial markets, investment products, and portfolio compliance is preferred.
• Technical Skills: Strong Microsoft Excel and data analysis skills are required, with SQL or other analytical tools preferred.
• Skills & Attributes: Strong analytical, problem-solving, organizational, communication, and decision-making skills are required.

Application Notice:

Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.