Compliance Analyst

Our client, a well-established financial services firm based in New York, NY, is seeking a Junior Compliance Officer to join its legal and compliance team. This individual will report directly to senior legal leadership and support a variety of compliance and legal functions, with a particular focus on trade surveillance, investment compliance, and regulatory matters. The ideal candidate will have 2+ years of experience within a bank, investment management firm, or financial services organization. Experience with mutual funds and ETFs is a strong plus. This is an initial 3–6 month contract opportunity with potential to convert to a permanent position.Responsibilities:Support the firm's day-to-day compliance monitoring and surveillance activitiesAssist with trade surveillance and review trading activity for potential compliance issuesHelp prepare, review, and execute contracts and agreementsConduct legal and regulatory research to support the compliance and legal teamReview marketing materials to ensure compliance with applicable regulatory requirementsReview RFPs and other client-facing materialsAssist with ongoing compliance projects, policies, and proceduresWork closely with senior legal and compliance leadership on various mattersRequirements:2+ years of experience in compliance within financial servicesPrior experience with trade surveillance or investment compliance strongly preferredExperience working at a bank, investment management firm, or financial services organizationFamiliarity with mutual funds and/or ETFs is a strong plusExposure to reviewing marketing materials, RFPs, contracts, and agreementsStrong research, analytical, and organizational skillsBachelor's degree required, with a minimum 3.0 GPAExcellent written and verbal communication skillsAbility to work directly with senior-level stakeholders and manage multiple priorities