Compliance Senior Analyst

Description

• Surveillance & Testing: Contribute to compliance testing and surveillance of investment activity and allocations. Collaborate with various business units and compliance stakeholders to identify and mitigate compliance risks.
• monitoring and handling the flow of material non-public information (“MNPI”) and associated control room functions
• maintaining restricted securities lists, coordinating wall-crossing approvals and related documentation
• Cross-Team Collaboration: Work with investment, legal, operations, technology and investor relations teams to promote firmwide compliance. Participate in projects and broader risk compliance initiatives.
• Identification and management of conflicts of interest
• Policy Support: Contribute to the development and refinement of compliance policies and procedures. Assist with policy-related questions from business unit and compliance stakeholders.
• Documentation & Reporting: Maintain organized records and assist with internal and regulatory reporting.
• Review & Monitor: Support oversight and implementation of investment adviser compliance controls, including:
• Training & Education: Participate in training, keep current with industry regulations, and help reinforce a culture of compliance across the business.

Requirements

• Education: Bachelor's degree with an excellent record of academic achievement.
• Experience: 2–5+ years in control room, investment compliance, or adjacent regulatory roles within financial services. Working knowledge of conflict-management workflows, MNPI controls, and restricted list practices. Strong understanding of investment compliance frameworks and regulatory requirements.
• Skills: Attention to detail, ability to work discreetly with confidential information, strong judgment, stakeholder management, clear communication, organization, and proficiency in Microsoft Office are necessary. Experience with compliance data/analytics or list-management technologies like (e.g., Tableau/ Bloomberg/ database familiarity)

Benefits

• Paid Time Off: Employee will accrue 5.23 hours of paid time off per pay period for a total of 17 days per year.
• 11 Paid Holidays per year.
• Full Insurance benefit suite including Medical Insurance, Dental Insurance, Vision Insurance, Critical Illness Insurance, Accident Insurance, Short Term Disability, Legal & Identity Theft Insurance, and Pet Insurance.
• Company paid Life Insurance (option to buy additional available) and Long-Term Disability.
• Access to Mental Health & Well-Being service.
• Access to benefits concierge service.
• Following six (6) months of employment at the Company, you will be eligible per birth, adoption or placement of a child for four (4) weeks of paid parental leave as the primary caregiver to the child or two weeks of paid parental leave as the secondary caregiver to the child. Following two years of employment at the Company, you will be eligible for twelve weeks of paid parental leave per birth, adoption, or placement of a child if you are the primary caregiver of the child.
• 401K:Bridge Investment Group will match your contributions dollar-for-dollar, up to 6% of your pay. These contributions are fully vested immediately. Eligible employees are automatically enrolled at a 4% contribution rate. *The employee must be at least 21 years of age and have worked for the Company for at least 60 days.
• Personalized Connection: Connect with an employee who resonates with your professional interests.
• Tuition Reimbursement: Up to $5,000 per year of pre-approved tuition expenses will be reimbursed upon submission of approved documentation. Repayment obligations may apply if employment terminates prior to 24 months.

Training + Development

Interview process

Visa Sponsorship

Security clearance