Compliance Analyst

Overview

A well-regarded global investment management frim is seeking a Compliance Analyst to join a strong regulatory compliance team in Fort Worth, TX.

The members of the firm's regulatory compliance team are generalists across the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934 and other laws and regulations relevant to fund management.

Responsibilities

• Assist with monitoring trading regulations and trade surveillance activities
• Help manage confidential information and maintain privacy standards
• Support compliance efforts in marketing, disclosures, and communication
• Assist with preparing and organizing regulatory filings
• Support portfolio compliance reviews and documentation
• Help maintain code of ethics records and compliance procedures
• Participate in compliance testing and provide administrative support
• Help manage information security and privacy protocols
• Support Anti-Money Laundering (AML) and Know Your Customer (KYC) data collection and review
• Assist in organizing compliance training sessions
• Contribute to maintaining daily operational processes and recordkeeping
• Help update and maintain compliance policies and procedures
• Assist with internal business communications and documentation

Qualifications

• 2-4 years of relevant investment advisory experience preferred
• Familiarity with broker-dealer regulations, Investment Company Act regulations, and/or public company rules is a plus
• Strong undergraduate academic background
• Demonstrated work ethic and proactive approach
• Ability to interpret, analyze facts, and identify issues
• Organized and thorough, with sound judgment in risk-related matters
• Strong interpersonal skills and ability to contribute to projects and processes
• Ability to manage competing deadlines with limited supervision
• Effective written and verbal communication skills
• Understanding of applicable rules and regulations
• Ability to learn and use emerging technologies (including AI tools) to support and streamline compliance processes and day-to-day workflows
• Ability to analyze and summarize legal and regulatory developments
• Proficiency in core technology and quantitative tools (Excel, PowerPoint, Word, Outlook)
• In-Office Requirement: Employees are required to be in office 3 days a week.