Compliance Analyst

The role involves working closely with senior Compliance and Legal team members on a variety of compliance matters, including reviewing marketing materials for SEC and FINRA compliance, organizing client communications, performing compliance testing, and assisting with regulatory filings.
The ideal candidate will have 3-5 years of experience, preferably with broker dealers and registered investment advisors, a strong understanding of alternative investments, and 40 Act compliance.
A JD is a plus, along with excellent communication, problem-solving, and organizational skills.
Proficiency in Excel and Word is required.