Regulatory Compliance Analyst — Hybrid, NYC

DC Standards; New York (NY); Hybrid; USD 80,000 - 100,000; Full time

Benefits offered by this job

Medical / Dental / Vision Insurance

Pet Insurance

Health Savings Account

Retirement Plans (401K)

Job summary

DC Advisory seeks an analyst to join the Firm’s legal and compliance teams in New York. This role offers broad exposure to compliance and regulatory workstreams and the chance to contribute to strategic discussions on compliance processes.

The position supports FINRA filings, onboarding, disclosures, training, and ongoing compliance projects, with a strong emphasis on ethics, confidentiality and professionalism.

Qualifications

• Bachelor’s degree is required.
• At least two years of experience in a compliance position.
• Sound judgment, discretion and a strong commitment to confidentiality and professionalism.
• Exposure to regulatory compliance or risk management within financial services is preferred.
• Familiarity with the FINRA regulatory framework is a plus.

Responsibilities

• Provide guidance to business units on policies related to the Compliance Manual, Code of Ethics, Restricted List, AML/KYC, Outside Business Activities, Gifts/Entertainment, etc.
• Prepare and submit regulatory filings with FINRA (Form U4/U5) and assist with regulatory examinations and investigations.
• Review and approve employee compliance-related requests in the internal system (gifts/entertainment, political contributions, private investments).
• Manage key elements of the personal trading program, including disclosures and pre-approvals.
• Support onboarding, certifications, disclosures, training requirements, and offboarding procedures.
• Support compliance projects, workflow enhancements, and operational improvements across systems and procedures.

Skills

Communication skills

Multi-tasking

Time management

Microsoft Office

Discretion

Education

Bachelor's degree

Tools

FINRA regulatory framework

Job description

DC Advisory seeks an analyst to join the Firm’s legal and compliance teams in New York. This role offers broad exposure to compliance and regulatory workstreams and the chance to contribute to strategic discussions on compliance processes.

The position supports FINRA filings, onboarding, disclosures, training, and ongoing compliance projects, with a strong emphasis on ethics, confidentiality and professionalism.