Junior Compliance Analyst Job at Northbound Executive Search, New York, NY

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  • Northbound Executive Search
  • New York, NY

Job Description

Junior Compliance Analyst

Location: New York, NY

RTO: 4 days in office

Department: Compliance

Position Summary:

The Jr. Compliance Analyst will play a critical role in supporting the firm’s compliance program, focusing on electronic surveillance, monitoring and testing, new hire onboarding, and regulatory obligations. This role involves daily interaction with cross-functional teams and requires strong attention to detail, organizational skills, and the ability to manage multiple priorities.

Key Responsibilities:

E-Surveillance Monitoring & Testing

  • Monitor electronic communications to ensure compliance with the firm’s supervisory obligations.
  • Conduct routine and ad hoc compliance testing and monitoring reviews.
  • Perform monthly and quarterly reporting, trend analysis, and escalation of findings.
  • Maintain the firm’s electronic communication archiving and surveillance systems (e.g., Global Relay).

New Hire Onboarding

  • Coordinate with Recruiting and Human Capital Management on compliance aspects of new hires.
  • Manage the compliance onboarding process, including sending welcome emails and collecting necessary documentation.

Compliance Approvals and Disclosures

  • Review and process employee disclosures and approval requests through ComplySci, including:
  • Personal trading
  • Private investments
  • Outside business activities (OBA)
  • Political contributions
  • Input and maintain employee data in the system (onboarding, offboarding, and periodic updates).
  • Perform regular data integrity checks.
  • Oversee the gifts and entertainment approval process.

Regulatory Training Support

  • Assist in identifying training needs and relevant compliance topics.
  • Update training materials and presentations.
  • Conduct compliance training sessions when needed.

Audits, Regulatory Exams & Investigations

  • Support the Compliance team in responding to regulatory examinations and investigations, including data production and analysis.
  • Assist in conducting internal audits to ensure the accuracy of books and records.

Reporting & Metrics

  • Aid in the preparation of management-level reporting and compliance metrics.

Policies, Procedures, and Standards

  • Assist with drafting, updating, and maintaining compliance policies, procedures, and operating standards.

Projects

  • Support various compliance-related projects and initiatives as needed.

Qualifications:

  • Bachelor’s degree required; degree in Finance, Business, Legal Studies, or related field preferred.
  • 1–2 years of experience in a compliance, operations, or surveillance-related role, preferably within financial services.
  • Familiarity with compliance systems such as Global Relay and ComplySci is a plus.
  • Strong analytical and organizational skills with the ability to manage multiple priorities.
  • Excellent written and verbal communication skills.
  • Proficiency in Microsoft Excel, PowerPoint, and Word.

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