Compliance Analyst (Wealth Management)

TL;DR

Compliance Analyst (Wealth Management): Providing regulatory advisory and oversight for PWM Capital Markets in the Americas Wealth Management division with an accent on capital markets, equity structuring, and managed strategies. Focus on ensuring alignment with U.S. federal securities laws, executing suitability surveillance, and managing regulatory change.

Location: New York, NY, United States

Salary: USD 75,000 - 100,000

Company

A leading global investment banking, securities and investment management firm headquartered in New York.

What you will do

• Maintain and update compliance policies, procedures, and control documentation.
• Provide real-time compliance advice on suitability standards for retail and institutional clients and product structuring.
• Conduct periodic forensic reviews and thematic compliance assessments to ensure business alignment with laws.
• Execute trading and suitability surveillance and deliver supervisory reports to Desk Heads.
• Provide compliance sign-off for marketing materials and oversee the implementation of Generative AI tools.
• Analyze the impact of U.S. and regional regulatory shifts and represent Compliance in divisional committees.

Requirements

• University degree in Finance, Compliance, or a related field.
• 1+ year of compliance or relevant financial services experience, preferably in Wealth Management.
• Knowledge of the U.S. regulatory environment (SEC, FINRA, CFTC).
• FINRA Series 7 certification (Series 9/10 highly preferred).
• Understanding of structured products, derivatives, and alternative investments.
• Strong analytical skills and excellent written communication.

Culture & Benefits

• Commitment to fostering diversity and inclusion in the workplace.
• Access to comprehensive training and development opportunities for professional growth.
• Firmwide networks, wellness programs, and personal finance offerings.
• Supportive environment featuring mindfulness programs and reasonable accommodations.