Compliance Analyst

We are seeking a detail-oriented and analytical Compliance Analyst to support the oversight of trading activity, trade execution practices, and investment suitability across our investment platforms. This role plays a critical part in ensuring compliance with SEC, and other regulatory requirements, as well as internal policies and procedures related to best execution and client suitability.Essential ResponsibilitiesTrade Surveillance & Monitoring: Conduct daily reviews of trade activity to identify anomalies, errors, and potential violations; ensure adherence to best execution standards and equitable treatment across client accounts.Issue Investigation & Risk Mitigation: Investigate escalations, trade errors, and execution outliers; identify gaps in compliance processes and recommend improvements to internal controls and oversight procedures.Investment Suitability Oversight: Evaluate client investment profiles, risk tolerances, and objectives to ensure product and strategy alignment; assess complex securities and oversee share class selection and related fees.Due Diligence & Product Review: Ensure due diligence is performed on investment products, including suitability, associated risks, and regulatory considerations.Compliance Program Support: Contribute to the development, maintenance, and enforcement of trading and investment-related compliance policies; remain current on evolving regulatory requirements.Reporting & Documentation: Generate and maintain reports, dashboards, and records related to surveillance findings, exceptions, and resolutions using compliance platforms such as My Compliance Office (MCO).Collaboration & Advisory Support: Partner with trading, investment, operations, and advisory teams to resolve issues, implement controls, and provide guidance on trade practices and product approvals.Regulatory Support & Examinations: Assist with regulatory exams, audits, and internal reviews by preparing documentation and supporting the Chief Compliance Officer and broader compliance team.