Compliance Analyst

Key Responsibilities

• Support the day-to-day operations of the Compliance function across regulatory, advisory, monitoring, and surveillance activities.
• Assist in reviewing policies, procedures, and internal controls to ensure alignment with applicable regulatory requirements and industry best practices.
• Assist with transaction monitoring, communications surveillance, trade surveillance, or other risk-based monitoring activities as applicable.
• Help prepare internal compliance reports, management updates, regulatory filings, and audit or examination materials.
• Monitor regulatory developments and assist in assessing their potential impact on the business.
• Work with Legal, Risk, Operations, Technology, Finance, and front-office teams to support compliance initiatives.
• Maintain accurate records of compliance reviews, approvals, exceptions, escalations, and remediation efforts.
• Assist in compliance testing, risk assessments, control reviews, and internal investigations as needed.
• Support training initiatives by helping prepare materials, track completion, and identify areas for employee education.
• Contribute to process improvements, automation initiatives, and compliance technology enhancements.

Qualifications

• Bachelor’s degree in Finance, Economics, Business, Political Science, Law, Accounting, Computer Science, Data Analytics, or a related field.
• Prior internship experience at an investment bank, fintech company, broker-dealer, asset manager, payments company, consulting firm, regulator, or financial services institution.
• Strong interest in financial markets, fintech, regulatory compliance, risk management, and corporate governance.
• Excellent analytical, organizational, and problem-solving skills.
• Strong written and verbal communication skills.
• High attention to detail and ability to handle sensitive or confidential information with discretion.
• Ability to work independently while collaborating effectively across teams.
• Proficiency in Microsoft Office, particularly Excel, PowerPoint, Word, and Outlook.

Preferred

Company