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Legal & Compliance Analyst

Posted Jul 01
Full Time
New York
  • Location: New York, NY, New York
  • Type: Perm (Contingency)
  • Job #37430
  • Salary: $100,000

Role Overview – Legal & Compliance Analyst:

Join our client, a leading financial advisory firm serving high net worth individuals, families, and charitable institutions, as a Legal & Compliance Analyst. Reporting to the General Counsel and Chief Compliance Officer, you will play a vital role in supporting the firm's Legal and Compliance department.

Compensation: $100,000.00 – $125,000.00 + bonus

Location: New York City

Responsibilities as the Legal & Compliance Analyst include:

  • Administering Board of Director's meetings and contributing to the firm's management of vendors
  • Conducting compliance testing and reviews of marketing materials
  • Maintaining legal agreements and other key business documents
  • Monitoring Code of Ethics compliance and managing the firm's compliance system
  • Coordinating projects and responding to various requests for information
  • Storing and summarizing key legal documents
  • Supporting the preparation and submission of regulatory filings
  • Assisting with fund launches and related fund documents
  • Scheduling meetings and managing workflows

Qualifications of the Legal & Compliance Analyst include:

  • Bachelor's degree from a top university with a demonstration of academic excellence
  • 1-3 years of experience in the financial services industry (operations, investment management, or similar)
  • Familiarity with applicable regulations and ongoing regulatory filings
  • Understanding of organizational/business structures and controls
  • Experience with file and vendor management processes
  • Strong attention to detail, organizational skills, and ability to prioritize workflow
  • Excellent written and verbal communication skills
  • High motivation, interest in learning, and ability to critically evaluate data
  • Integrity and high moral standards

Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.