BCI - Brokerage Consultants Ltd.

Our Focus: Financial Services

We connect the right people with the right positions throughout the financial community.

  • Asset Management
  • Alternative Investments
  • Banking
  • Broker/Dealers
  • Commercial Lending
  • Consulting
  • Corporate Treasury
  • Family Offices
  • Financial Services Software Services
  • Insurance & Pension Funds
  • Municipal Finance
  • Private Equity
  • Real Estate Finance
  • Trading

Brokerage Consultants - Financial Recruiting

Tap our resources.

They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

Job Order:

Job Type:

Compliance Analyst (Temp) (1221-296)

New York, NY (Midtown)

NYC asset management firm seeks Compliance Analyst for temporary assignment
covering an employee on maternity leave.

Will assist with
• compliance monitoring program (testing of investment guidelines and
trade allocation review)
• monitoring/ensuring compliance with applicable US/UK regulations
• development of policies/procedures that reflect changes in firm’s
• marketing review, DDQ requests, monthly compliance questionnaires
• reviewing requests for personal trading/political
contributions/outside business activities/gifts and entertainment via
• onboarding new employees
• maintenance of restricted and gray lists

BS/BA degree and 1-3 years of work experience required
‘40 Act and buy-side trading compliance examination experience preferred
Required: great written/oral communication skills; accuracy/attention to
detail; ability to thrive in deadline-driven environment; excellent
organizational skills; ability to work well with Compliance team; strong
Microsoft Office skills with proficiency in Excel, Word, and PowerPoint

Alternative Investments // Asset Management // Compliance and Legal