Trading Floor 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 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.