Compliance Analyst

Brooklyn, NY
Compliance /
Full-time /
Brooklyn Investment Group is an SEC-registered Investment Adviser that leverages the technology of its parent company, Brooklyn Artificial Intelligence Research. This technology is combined with institutional-grade portfolio optimization and automated tax-loss harvesting to power personalized portfolios for our clients, including financial advisory firms and asset managers.

Over the past five years, Brooklyn Artificial Intelligence Research has developed a powerful engine for customizing investment portfolios and more than $5 billion has been traded on its portfolios to date.

Our growing team comes from top universities and financial institutions such as Goldman Sachs, Citadel and Bridgewater Associates.

As a Compliance Analyst, you’ll play the role of coordinating and executing our compliance efforts internally and with relevant third-party advisors, under the supervision of the Head of Operations and the Chief Compliance Officer. The Compliance Analyst will also work on other operational tasks, on an as needed basis.


    • Ensure that ongoing compliance requirements are met and documented with accuracy and excellence (quarterly and / or annual requirements, ongoing requests, etc.)
    • Liaise with various stakeholders to ensure that all marketing materials are compliant
    • Work on integrating any tech-enabled efforts to drive compliance efficiencies
    • Coordinate company-wide implementation of any new compliance requirements relevant to the firm
    • Assist in compliance-related areas of client and / or vendor due diligence
    • Partner with Head of Operations and General Counsel on compliance-related areas of transaction documentation
    • Coordinate compliance-related employee onboarding
    • Assist with any regulatory inquiries and / or examinations
    • Identify process inefficiencies, and execute applicable remedies, while building consensus around these with the rest of the team
    • Other operational matters, as needed and assigned

Skills & Experience

    • Minimum of 2 years of experience in SEC-regulated compliance organization
    • Working knowledge of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940 and an investment advisory firm’s requirements
    • Desire to work in fast-paced environment with a high attention to detail that’s at the cutting edge of investment management innovation
    • Ability to work both independently and in a team environment, while taking responsibility for seeing projects through to their completion
    • Excellent writing skills, including experience writing  memoranda, and procedure and policy documents
    • Strong verbal communication and presentation skills
    • Ability to balance multiple priorities and demands concurrently
$95,000 - $115,000 a year