Fund Compliance Analyst
Career Launch AI
San Francisco, CA
Fund Compliance Analyst
Location: New York, NY
Employment Type: Full-Time
Estimated Compensation:
$140,000 – $185,000 total annual compensation (varies by employer)
About This Posting
This job description represents a sample Fund Compliance Analyst position commonly found through the Career Launch AI Talent Network. It is intended to help job seekers understand the responsibilities and qualifications typically associated with early-career roles in fund compliance, regulatory oversight, and internal control for investment funds.
Actual openings may vary based on employer type (e.g., private equity, hedge funds, venture capital, or alternative asset managers) and the specific regulatory framework they operate under.
For more information on the Career Launch AI Talent Network, visit:
https://www.careerlaunch.ai/
Position Overview
Fund Compliance Analysts support fund operations and investment teams by monitoring adherence to internal policies, regulatory requirements, and industry best practices. The role blends analytical rigor, regulatory awareness, and operational oversight to ensure that funds operate within legal, regulatory, and risk parameters.
These roles often involve collaboration with legal, operations, risk management, and fund administration teams.
Key Responsibilities
Monitor fund operations to ensure compliance with internal policies, regulatory requirements, and investor agreements
Assist in the development, implementation, and maintenance of compliance programs and procedures
Review fund documentation, investor communications, and transaction records for compliance adherence
Track regulatory filings, reporting deadlines, and changes in relevant laws and regulations
Conduct compliance testing, risk assessments, and internal audits of fund activities
Identify, report, and escalate compliance issues or breaches to senior management
Support ongoing regulatory reporting and audits from authorities or external auditors
Maintain accurate records of compliance activities and create compliance dashboards and reports
Preferred Qualifications
Bachelor’s degree in Finance, Economics, Law, Accounting, or a related field
Understanding of fund compliance, regulatory frameworks, and investment fund operations
Familiarity with SEC, FINRA, CFTC, or other relevant regulatory requirements
Strong analytical and organizational skills with attention to detail
Proficiency in Excel; experience with compliance software or data analysis tools is a plus
Ability to work effectively with multiple stakeholders in a fast-paced environment
Clear written and verbal communication skills
Interest in fund compliance, regulatory monitoring, and risk management
About the Career Launch AI Talent Network
The Career Launch AI Talent Network helps job seekers pursue opportunities similar to this role through:
Skills-based role matching
Resume and profile optimization
Guidance on outreach to fund compliance and operations teams
Interview preparation for compliance, regulatory, and fund operations roles
To learn more or express interest in fund compliance roles, visit:
https://www.careerlaunch.ai/