Regulatory Compliance Analyst

Tential Solutions; New York (NY); Hybrid; USD 70,000 - 110,000; Full time

Benefits offered by this job

Hybrid work environment

Job summary

Tential Solutions is seeking a Reg Compliance Analyst to support regulatory compliance functions within the RegOps Unified Services – Regulatory Support Group. The role involves independent task execution, documentation control, and collaboration with the Ethics Office to uphold compliance standards.

Responsibilities include policy management, BSA program oversight, COI liaison support, SEC reporting coordination, and broad regulatory research.

Qualifications

• Bachelor's degree or equivalent experience in business, finance, law, public policy, or a related field.
• Prior experience in regulatory compliance or financial services is preferred.
• Strong oral and written communication skills, including the ability to draft, edit, and present information clearly.
• Strong organizational skills and ability to manage multiple assignments and tight deadlines.
• Strong interpersonal skills and ability to collaborate with diverse stakeholders.

Responsibilities

• Policy & Procedure Management — Owns RegOps policies and procedures; drafts, publishes updates, coordinates input and approval, conducts reviews, and retrieves policy materials as needed.
• BSA Program Management & Oversight — Assists administration and oversight of the BSA program, handles onboarding/training, responds to staff inquiries, supports monitoring and auditing.
• COI Policy Liaison Support — Supports enterprise-wide COI program; reviews alerts, researches conflicts, advises on policies, drafts memoranda.
• SEC Reporting Coordination — Assists in assembling materials for SEC periodic and regular reporting with attention to detail and proper handling of documents.
• Provides broad regulatory compliance support including research, meeting prep, audit tracking, and process improvements.

Skills

Communication skills

Attention to detail

Independent worker

Education

Bachelor's degree or equivalent in business, finance, law, public policy, or related field

Job description

Reg Compliance Analyst Job Description

Professional position responsible for supporting important regulatory compliance functions on the Regulatory Compliance Team in the Regulatory Operations (RegOps) Unified Services – Regulatory Support Group. The individual will work independently on assigned tasks and projects, contributing directly to the team's ability to fulfill its compliance obligations and support our client's mission of investor protection and market integrity. Responsibilities may include, but are not limited to, the functions described below.

Reg Compliance Analyst Job Description

Professional position responsible for supporting important regulatory compliance functions on the Regulatory Compliance Team in the Regulatory Operations (RegOps) Unified Services – Regulatory Support Group. The individual will work independently on assigned tasks and projects, contributing directly to the team's ability to fulfill its compliance obligations and support our client's mission of investor protection and market integrity. Responsibilities may include, but are not limited to, the functions described below.

Responsibilities

• Policy & Procedure Management — Serves as the designated Document Owner for RegOps policies and procedures, ensuring department-wide documentation is accurate, current, and consistently maintained. Responsibilities include drafting and publishing updates, coordinating stakeholder input and approval, conducting periodic reviews, and assessing the impact of organizational changes. Also supports regulatory and stakeholder requests requiring careful retrieval, review, and handling of policy materials.
• Bank Secrecy Act (BSA) Program Management & Oversight — Supports the administration and oversight of the BSA program, a highly regulated and important compliance function. Responsibilities include participant onboarding and training, helping to resolve staff inquires, compliance monitoring, and auditing activities. Requires the ability to handle sensitive information with discretion and a commitment to maintaining program integrity.
• Conflict of Interest (COI) Policy Liaison Support — Plays a key role in upholding the integrity of an enterprise-wide COI program in close coordination with RegOps staff and the Ethics Office. Responsibilities include reviewing conflict alerts, researching potential conflicts, advising staff on COI policies and procedures, and assisting with the drafting of conflict memoranda. Strong judgment, discretion, and precise written communication are essential.
• SEC Reporting Request Coordination — Supports the timely and accurate compilation of materials responsive to SEC Periodic and Regular Reporting requests, requiring strong organizational skills, attention to detail, and sound judgment in the handling and review of responsive materials.
• Additional Regulatory Compliance Support — Provides broad support across the Regulatory Compliance team, including research and analysis, meeting preparation, audit tracking, and process improvement initiatives. The ability to adapt across multiple functions and consistently deliver quality work is essential.

Education & Experience

• Bachelor's degree or equivalent experience in business, finance, law, public policy, or a related field.
• Prior experience in regulatory compliance or financial services, with working knowledge of the securities industry and relevant regulatory frameworks, strongly preferred.
• Strong oral and written communication skills, including the ability to draft, edit, and present information clearly and precisely.
• Strong organizational skills and attention to detail, with the ability to manage multiple assignments concurrently and deliver quality work under tight deadlines.
• Strong interpersonal skills, with the ability to collaborate effectively with diverse stakeholders and work independently.
• Proficiency with standard office and document management tools.

Working Conditions

• Hybrid work environment, with defined in-person presence requirements.
• Extended hours may be required.