Investment Compliance Analyst — Trading & Regulation Focus

Landing Point; Greenwich (CT); On-site; USD 70,000 - 100,000; Full time

Job summary

Landing Point in Greenwich, CT is seeking a Compliance Analyst/Associate to support pre- and post-trade monitoring, regulatory reporting and ethics administration. This role offers broad exposure across investment-management compliance and will work closely with portfolio managers, traders and operations professionals.

Ideal for an early-career professional looking to build a foundation in compliance within a collaborative, growing organization and a lean Compliance team with senior mentorship.

Qualifications

• Bachelor’s degree in finance, economics, accounting, business or related discipline.
• 1–3 years of relevant compliance experience preferred.
• Genuine interest in investment-management compliance.
• Strong analytical and problem-solving skills.
• Exceptional attention to detail and ability to manage multiple priorities.

Responsibilities

• Support pre- and post-trade investment compliance monitoring for client accounts and registered fund portfolios.
• Monitor client investment guidelines, trading restrictions and other portfolio requirements.
• Assist with administration of the firm’s Code of Ethics and related certifications.
• Support employee compliance onboarding and ongoing attestations.
• Conduct compliance testing and monitoring across areas including best execution, proxy voting, trade activity, reconciliations and AML.
• Assist with regulatory filings (Forms 13F, 13H, ADV and PF).
• Support compliance-related aspects of annual control and audit processes.
• Assist with client and prospect DDQs and other compliance-related requests.

Skills

Analytical skills

Problem-solving

Attention to detail

Communication skills

Time management

Organizational skills

Interpersonal skills

Education

Bachelor’s degree in finance/economics

Job description

Landing Point in Greenwich, CT is seeking a Compliance Analyst/Associate to support pre- and post-trade monitoring, regulatory reporting and ethics administration. This role offers broad exposure across investment-management compliance and will work closely with portfolio managers, traders and operations professionals.

Ideal for an early-career professional looking to build a foundation in compliance within a collaborative, growing organization and a lean Compliance team with senior mentorship.