Trade Compliance Analyst

Trade Compliance AnalystNew York, NY On-Site$120,000 to $150,000Taylor Root is running a confidential search for a compliance analyst to join the legal and compliance function at a New York investment manager. This is a hands-on seat with real exposure to the trading floor from day one.

Responsibilities

Reviewing daily trading activity against internal controls and regulatory requirements and escalating anything that looks off.Tracking positions against internal and regulatory ownership thresholds using the firm's automated reporting.Applying the rules governing participation in securities offerings and keeping the documentation clean enough to stand up to regulator review.Running the information barrier process when people need to be brought over the wall.Supporting regulatory filings and helping the team absorb new rules as they land.

Qualifications

Internship to 2 years of professional experience and a strong track record to date.A background in compliance, law, accounting, financial operations or investment management. A compliance title is not a requirement, and the firm is genuinely open here.Sharp analytical instincts, real attention to detail, and the ability to run several things at once without dropping any of them.Clear writing, clear speaking, and the judgment to handle sensitive information properly.