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Compliance Analyst (1940s Investment Advisor Act Required)

May 15, 2026

Use our form to send your application to Monica Feltz, the Jobot Pro hosting this job. Compensation Based on Experience.

$85000 - $125000 per year | Riviera Beach, FL | Remote | Permanent

Global Asset Management Firm Seeks Compliance Analyst to Join Growing Compliance Team!! Great Benefits! Great Flexibility! Hybrid/Remote Work Schedule!

A bit about us:

Our client is a global diversified alternative asset management firm/SEC-registered investment adviser with 20+ years of experience in delivering strong risk-adjusted returns and innovative solutions for investors. They have over $13 billion under management.

Why join us?

Medical + Wellness Plan

Dental

Vision

401K Match + Contribution

STD/LTD

Life Insurance

PTO

Bonuses

And More!!

Job Details

Job Details:

Our Client is seeking an experienced Compliance Analyst to join our dynamic team in the finance industry. This is a permanent position suitable for a highly motivated and detail-oriented individual who has a deep understanding of the regulatory environment in the financial services sector. The successful candidate will play a pivotal role in ensuring that our firm remains in compliance with the Investment Advisers Act of 1940, Rule 206(4)-7, federal securities law, and other relevant regulations. This role will provide an exciting opportunity to work in a fast-paced, challenging environment, with a focus on compliance within the investment advisory and hedge fund sectors.

Responsibilities:

The Compliance Analyst will be responsible for the following duties:

1. Ensuring compliance with the Investment Advisers Act of 1940, Rule 206(4)-7, federal securities law, and other relevant regulations.

2. Implementing and maintaining the firm's Code of Ethics, focusing on areas such as personal trading, insider trading, gifts and entertainment, and political contributions.

3. Monitoring and preventing potential pay-to-play and insider trading activities.

4. Managing electronic communications in compliance with regulatory requirements.

5. Ensuring compliance with the Foreign Corrupt Practices Act (FCPA).

6. Preparing and submitting regulatory reports to financial services' regulatory authorities.

7. Providing compliance guidance to the firm's investment advisory and hedge fund teams.

8. Staying up-to-date with regulatory changes and advising the firm on necessary adjustments to business practices.

Qualifications:

The ideal candidate for the Compliance Analyst position will possess the following qualifications:

1. A minimum of 2 years of experience in a similar role within the financial services industry, preferably within an investment advisory firm or hedge fund.

2. Extensive knowledge of the Investment Advisers Act of 1940, Rule 206(4)-7, and federal securities law.

3. Familiarity with the Code of Ethics and its application to areas such as personal trading, insider trading, gifts and entertainment, and political contributions.

4. Experience in monitoring electronic communications and ensuring compliance with FCPA.

5. Proven track record in preparing and submitting regulatory reports.

6. Strong understanding of the regulatory environment, including the latest changes and trends.

7. Excellent communication and interpersonal skills, with the ability to provide clear and concise compliance guidance.

8. Strong analytical skills, with the ability to interpret complex regulatory requirements and apply them to business practices.

We are looking for a proactive and diligent professional who thrives in a fast-paced environment and is committed to upholding the highest standards of compliance. If you are ready to take on this exciting challenge, we look forward to hearing from you.

Jobot is an Equal Opportunity Employer. We provide an inclusive work environment that celebrates diversity and all qualified candidates receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, religion, national origin, age (40 and over), disability, military status, genetic information or any other basis protected by applicable federal, state, or local laws. Jobot also prohibits harassment of applicants or employees based on any of these protected categories. It is Jobot’s policy to comply with all applicable federal, state and local laws respecting consideration of unemployment status in making hiring decisions.

Sometimes Jobot is required to perform background checks with your authorization. Jobot will consider qualified candidates with criminal histories in a manner consistent with any applicable federal, state, or local law regarding criminal backgrounds, including but not limited to the Los Angeles Fair Chance Initiative f

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Common Interview Questions And Answers

1. HOW DO YOU PLAN YOUR DAY?

This is what this question poses: When do you focus and start working seriously? What are the hours you work optimally? Are you a night owl? A morning bird? Remote teams can be made up of people working on different shifts and around the world, so you won't necessarily be stuck in the 9-5 schedule if it's not for you...

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Just like your schedule, how you track files and other information is very important. After all, everything is digital!...

8. HOW TO PRIORITIZE WORK?

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