Compliance Analyst Job Description Template

The compliance analyst carries out the day to day work of the compliance program: monitoring, surveillance, attestations, filings and record keeping. The role suits people who are careful with detail and comfortable asking questions of senior investment staff. Most of the value is in catching small problems early, since compliance issues are much cheaper to fix before a regulator finds them.

Typical Duties and Responsibilities

• Perform daily and periodic compliance monitoring and document the results
• Review personal account dealing requests and reconcile broker statements
• Run trade surveillance reports and investigate exceptions
• Maintain restricted and watch lists and communicate changes
• Support regulatory filings and periodic reporting
• Review marketing materials and investor communications against policy
• Maintain compliance records, attestations and training logs
• Assist with regulatory examinations and internal reviews
• Track regulatory developments relevant to the firm
• Support the chief compliance officer on policy updates and the annual review

Education

• Bachelor’s degree in finance, law, business or a related field

Required Skills and Experience

• 2+ years of compliance experience in asset management or financial services
• Understanding of investment adviser or fund manager regulatory obligations
• Careful, well documented work
• Comfort querying senior staff about their activity
• Proficiency with Excel and compliance monitoring systems
• Clear written communication for policies and reports
• Discretion with sensitive information
• Ability to manage recurring deadlines without prompting

Preferred Qualifications

• A recognized compliance certification
• Experience with a trade surveillance platform