Trade Compliance Analyst

Taylor Root; New York (NY); On-site; USD 85,000 - 110,000; Full time

Job summary

Taylor Root is seeking a compliance analyst to join the legal and compliance function at a New York investment manager. This hands-on role provides exposure to the trading floor from day one.

The ideal candidate has internship to 2 years of experience in compliance-related fields, with sharp analytical instincts and strong writing and communication skills to handle sensitive information effectively.

Qualifications

• Internship to 2 years of professional experience in a relevant field.
• Background in compliance, law, accounting, financial operations or investment management.
• Strong analytical instincts and attention to detail.

Responsibilities

• Review daily trading activity against internal controls and regulatory requirements and escalate any anomalies.
• Track positions against internal and regulatory ownership thresholds using automated reporting.
• Apply rules governing participation in securities offerings and maintain regulator-ready documentation.
• Run the information barrier process when people are brought over the wall.
• Support regulatory filings and help the team absorb new rules as they land.

Skills

Analytical instincts

Attention to detail

Multitasking

Clear writing

Clear speaking

Judgment

Job description

Taylor Root is running a confidential search for a compliance analyst to join the legal and compliance function at a New York investment manager. This is a hands-on seat with real exposure to the trading floor from day one.

Responsibilities:

• Reviewing daily trading activity against internal controls and regulatory requirements and escalating anything that looks off.
• Tracking positions against internal and regulatory ownership thresholds using the firm's automated reporting.
• Applying the rules governing participation in securities offerings and keeping the documentation clean enough to stand up to regulator review.
• Running the information barrier process when people need to be brought over the wall.
• Supporting regulatory filings and helping the team absorb new rules as they land.

Qualifications:

• Internship to 2 years of professional experience and a strong track record to date.
• A background in compliance, law, accounting, financial operations or investment management. A compliance title is not a requirement, and the firm is genuinely open here.
• Sharp analytical instincts, real attention to detail, and the ability to run several things at once without dropping any of them.
• Clear writing, clear speaking, and the judgment to handle sensitive information properly.