Compliance Analyst (Investment Bank)

Landing Point is hiring a Compliance Analyst for their investment banking team in New York City. The role involves supporting the compliance program, conducting reviews, and maintaining compliance logs. Candidates should have 1-2 years of compliance experience in investment banking and a strong understanding of regulatory requirements. A bachelor's degree is required, and the position offers a salary of up to $90,000 plus bonuses. This is a hybrid role.
Job Title: Compliance Analyst

Location: New York, NY (hybrid)

Position Summary:

A prominent investment bank is seeking a Compliance Analyst to join their Compliance team in New York City. This role will report directly to the Director of Compliance and will support all aspects of the firm’s compliance program. The ideal candidate will have 1–2 years of compliance experience within an investment banking environment and a strong understanding of broker-dealer regulatory requirements.

Key Responsibilities:
• Assist with the implementation and monitoring of the firm’s compliance policies and procedures.
• Conduct routine and ad hoc reviews of communications, trading activity, and other business practices to ensure compliance with FINRA, SEC, and other applicable regulations.
• Support regulatory filings such as Form U4/U5, Form BD updates, and regulatory examinations.
• Maintain internal compliance logs, reports, and documentation.
• Monitor employee personal trading, outside business activities, gifts & entertainment, and other Code of Ethics requirements.
• Participate in compliance training initiatives and help develop training materials.
• Stay current with regulatory developments and help assess their impact on the firm’s business operations.
• Qualifications:
• Bachelor’s degree required; Finance, Economics, or related field preferred.
• 1–2 years of experience in a compliance role at a broker-dealer or investment bank.
• Familiarity with FINRA, SEC, and other regulatory requirements.
• Strong attention to detail, organizational skills, and ability to manage multiple priorities.
• Excellent written and verbal communication skills.

Compensation: Up to $90,000 base salary + discretionary bonus