2 Jobs in Brooklyn, NY
Brooklyn Investment Group is Hiring a Compliance Analyst Near Brooklyn, NY
Over the past five years, Brooklyn Artificial Intelligence Research has developed a powerful engine for customizing investment portfolios and more than $5 billion has been traded on its portfolios to date.
Our growing team comes from top universities and financial institutions such as Goldman Sachs, Citadel and Bridgewater Associates.
Opportunity
As a Compliance Analyst, you'll play the role of coordinating and executing our compliance efforts internally and with relevant third-party advisors, under the supervision of the Head of Operations and the Chief Compliance Officer. The Compliance Analyst will also work on other operational tasks, on an as needed basis.
Responsibilities
- Ensure that ongoing compliance requirements are met and documented with accuracy and excellence (quarterly and / or annual requirements, ongoing requests, etc.)
- Liaise with various stakeholders to ensure that all marketing materials are compliant
- Work on integrating any tech-enabled efforts to drive compliance efficiencies
- Coordinate company-wide implementation of any new compliance requirements relevant to the firm
- Assist in compliance-related areas of client and / or vendor due diligence
- Partner with Head of Operations and General Counsel on compliance-related areas of transaction documentation
- Coordinate compliance-related employee onboarding
- Assist with any regulatory inquiries and / or examinations
- Identify process inefficiencies, and execute applicable remedies, while building consensus around these with the rest of the team
- Other operational matters, as needed and assigned
- Minimum of 2 years of experience in SEC-regulated compliance organization
- Working knowledge of the U.S. Securities and Exchange Commission's Investment Advisers Act of 1940 and an investment advisory firm's requirements
- Desire to work in fast-paced environment with a high attention to detail that's at the cutting edge of investment management innovation
- Ability to work both independently and in a team environment, while taking responsibility for seeing projects through to their completion
- Excellent writing skills, including experience writing memoranda, and procedure and policy documents
- Strong verbal communication and presentation skills
- Ability to balance multiple priorities and demands concurrently
Job Summary
Full Time
$100k-126k (estimate)
04/27/2024
05/10/2024
The following is the career advancement route for Compliance Analyst positions, which can be used as a reference in future career path planning. As a Compliance Analyst, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Analyst. You can explore the career advancement for a Compliance Analyst below and select your interested title to get hiring information.
If you are interested in becoming a Compliance Analyst, you need to understand the job requirements and the detailed related responsibilities. Of course, a good educational background and an applicable major will also help in job hunting. Below are some tips on how to become a Compliance Analyst for your reference.
Step 1: Understand the job description and responsibilities of an Accountant.
Quotes from people on Compliance Analyst job description and responsibilities
Compliance analysts can help ensure that your organization's products or processes meet compliance specifications.
03/13/2022: Hopkinsville, KY
They can audit members of professional organizations to determine whether they meet the standards set by the organization.
03/11/2022: Fresno, CA
Most of them contribute to security designs through acquisitions and/or system developments to deliver and maintain a compliant system.
02/10/2022: Clearwater, FL
Help companies remain compliant with regulations, thus preparing them for audits.
03/13/2022: Columbus, OH
The compliance analyst has a duty to maintain legal and regulatory compliance by researching, analyzing, and communicating regulatory requirements and obtaining the appropriate approvals.
02/27/2022: Casper, WY
Step 2: Knowing the best tips for becoming an Accountant can help you explore the needs of the position and prepare for the job-related knowledge well ahead of time.
Career tips from people on Compliance Analyst jobs
Every compliance analyst has slightly different duties, tasks, and responsibilities due to varying job descriptions.
12/30/2021: Billings, MT
Smaller organizations still focus on having a single compliance specialist rather than a complete department.
01/25/2022: Santa Cruz, CA
Sometimes, the compliance analyst works along with the compliance head and other compliance officers.
01/26/2022: Denver, CO
Ability to accurately complete applications for compliance certification.
03/08/2022: Fayetteville, AR
Get Certifications and Continue Learning.
12/24/2021: Saginaw, MI
Step 3: View the best colleges and universities for Compliance Analyst.
