Sr. Compliance Analyst (Investment)

This Jobot Job is hosted by : Amanda Cohen

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Salary : $100,000 - $150,000 per year

A bit about us :

We’re a financial services leader focused on helping people make smarter decisions with their money. From retirement planning and investments to technology-driven solutions, our mission is to empower clients to achieve financial security and long-term success. We’ve built a reputation on integrity, innovation, and a client-first mindset—and we’re always looking for people who share those values to join our team.

Why join us?

Impactful Work : Your efforts directly support the trust and protection of millions of investors.

Career Development : We provide continuous learning opportunities, mentorship, and room for advancement.

Great Benefits : Competitive pay, flexible schedules, wellness programs, and retirement plans that actually stand out in the industry.

Inclusive Culture : You’ll be part of a collaborative environment that values diverse perspectives and encourages people to bring their authentic selves to work.

Flexibility : We know life happens—our hybrid and flexible work models help you balance career and personal priorities.

Job Details

We’re looking for a Senior Compliance Analyst who can strengthen our oversight and help ensure that our business always meets regulatory standards. You’ll partner with teams across investments, operations, and leadership to anticipate risks, resolve issues, and continuously improve how we do business.

What You’ll Do

Oversee trading and investment activity to confirm adherence to internal policies and industry regulations.

Investigate and resolve compliance exceptions, escalating issues when necessary.

Update and maintain compliance policies, procedures, and internal controls.

Act as a resource to portfolio managers, traders, and other stakeholders by interpreting complex compliance requirements.

Monitor regulatory changes and suggest process enhancements to keep us ahead of evolving expectations.

Support internal audits, regulatory exams, and data-driven reporting to senior leaders.

What We’re Looking For

Bachelor’s degree; advanced education (JD, MBA, or similar) is a plus.

5+ years of experience in compliance, risk, or regulatory functions within financial services.

Strong problem-solving and analytical skills, with comfort working with large data sets.

Clear, confident communicator who can simplify complex topics for multiple audiences.

Knowledge of trading, investment products, or operations compliance is highly valued.

Ability to juggle multiple priorities in a fast-paced, high-stakes environment.

What Success Looks Like

Effective risk detection and swift resolution of compliance issues.

Strong partnerships with business teams built on trust and guidance.

Meaningful contributions to process improvements and operational efficiency.

Clear, actionable insights that help leadership make better-informed decisions.

Interested in hearing more? Easy Apply now by clicking the "Apply" button.

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