Analyst, Technology and Operations

The Compliance Technology and Operations Analyst serves as a bridge between Compliance, Operations, and Technology, partnering across the organization to modernize, streamline, and automate regulatory and compliance processes. This role is responsible for identifying opportunities to improve efficiency, reduce operational risk, strengthen controls, and leverage technology solutions to support the firm's compliance framework.

The ideal candidate combines regulatory awareness, operational excellence, process improvement expertise, and technical aptitude. They are comfortable translating business requirements into practical technology solutions and driving initiatives that enhance the effectiveness, scalability, and consistency of the Compliance function.

THE SUCCESSFUL CANDIDATE IS EXPECTED TO:

Compliance Process Automation

• Identify, assess, and prioritize opportunities to automate manual compliance activities.
• Partner with Compliance, Technology, and Operations teams to design and implement workflow automation solutions.
• Support implementation and enhancement of compliance technology platforms, including surveillance, employee compliance, licensing, AML, regulatory change management, and monitoring systems.
• Reduce reliance on manual processes and spreadsheets through automation, workflow optimization, and system integration.
• Evaluate emerging technologies and regulatory technology (RegTech) solutions to strengthen compliance operations.

Compliance Operations & Technology Enablement

• Gather and document business requirements from Compliance stakeholders.
• Translate compliance requirements into technology specifications and implementation plans.
• Serve as a liaison between Compliance and Technology teams during system implementations, upgrades, and enhancements.
• Support platform administration, user acceptance testing, issue resolution, and ongoing system governance.
• Assist with vendor management activities and the evaluation of third-party compliance technology solutions.

Process Improvement & Control Enhancement

• Document and map current-state and future-state compliance processes.
• Identify operational inefficiencies, control gaps, and opportunities for standardization.
• Recommend and implement solutions that improve effectiveness while maintaining regulatory compliance.
• Develop procedures, workflows, and operating documentation that support sustainable operations.
• Support continuous improvement initiatives across the Compliance organization.

Governance, Risk & Regulatory Support

• Assist with regulatory examinations, audits, and compliance reviews.
• Support compliance testing and monitoring activities through process improvements and technology-enabled controls.
• Help establish governance frameworks for compliance technology platforms and operational processes.
• Partner with Compliance leadership to ensure key controls remain effective and scalable as the organization grows.

Project Management & Change Enablement

• Participate in strategic compliance transformation initiatives.
• Track project milestones, risks, dependencies, and deliverables.
• Coordinate across Compliance, Legal, Operations, Technology, and business stakeholders.
• Support change management, training, and user adoption efforts associated with new technologies and processes.

QUALIFICATIONS:

• Bachelor's degree in Business, Information Systems, Finance, Accounting, Risk Management, or related field.
• 2-5 years of experience in Compliance, Risk, Internal Audit, Operations, Business Analysis, or Financial Services Technology.
• Experience documenting business requirements, workflows, and operating procedures.
• Strong analytical, organizational, and problem-solving skills.
• Ability to manage multiple priorities and stakeholders in a fast-paced environment.
• Excellent written and verbal communication skills.

Preferred

• Experience within asset management, private equity, private credit, wealth management, or banking.
• Familiarity with SEC, FINRA, AML, and other financial regulatory requirements.
• Experience with workflow automation or process improvement tools such as Microsoft Power Platform, ServiceNow, or similar platforms.
• Experience supporting compliance technology or regulatory technology (RegTech) implementations.
• Lean Six Sigma, Agile, Scrum, or project management certifications.

Critical Competencies

• Compliance Operations
• Process Automation
• Technology Enablement
• Business Analysis
• Process Mapping & Documentation
• Regulatory Risk Awareness
• Project Management
• Stakeholder Management
• Continuous Improvement
• Change Management

Success Measures

Success in this role is demonstrated through:

• Reduction in manual compliance activities and operational inefficiencies.
• Successful implementation and adoption of compliance technology solutions.
• Improved effectiveness, scalability, and consistency of compliance processes.
• Enhanced control environment and reduced operational risk.
• Timely delivery of compliance transformation initiatives.
• Strong partnership across Compliance, Technology, Operations, and business teams.