Analyst

The Compliance Technology and Operations Analyst serves as a bridge between Compliance, Operations, and Technology, partnering across the organization to modernize, streamline, and automate regulatory and compliance processes. This role is responsible for identifying opportunities to improve efficiency, reduce operational risk, strengthen controls, and leverage technology solutions to support the firm's compliance framework.

The ideal candidate combines regulatory awareness, operational excellence, process improvement expertise, and technical aptitude. They are comfortable translating business requirements into practical technology solutions and driving initiatives that enhance the effectiveness, scalability, and consistency of the Compliance function.

THE SUCCESSFUL CANDIDATE IS EXPECTED TO:

Compliance Process Automation

• Identify, assess, and prioritize opportunities to automate manual compliance activities.
• Partner with Compliance, Technology, and Operations teams to design and implement workflow automation solutions.
• Support implementation and enhancement of compliance technology platforms, including surveillance, employee compliance, licensing, AML, regulatory change management, and monitoring systems.
• Reduce reliance on manual processes and spreadsheets through automation, workflow optimization, and system integration.
• Evaluate emerging technologies and regulatory technology (RegTech) solutions to strengthen compliance operations.

Compliance Operations & Technology Enablement

• Gather and document business requirements from Compliance stakeholders.
• Translate compliance requirements into technology specifications and implementation plans.
• Serve as a liaison between Compliance and Technology teams during system implementations, upgrades, and enhancements.
• Support platform administration, user acceptance testing, issue resolution, and ongoing system governance.
• Assist with vendor management activities and the evaluation of third-party compliance technology solutions.

Process Improvement & Control Enhancement

• Document and map current-state and future-state compliance processes.
• Identify operational inefficiencies, control gaps, and opportunities for standardization.
• Recommend and implement solutions that improve effectiveness while maintaining regulatory compliance.
• Develop procedures, workflows, and operating documentation that support sustainable operations.
• Support continuous improvement initiatives across the Compliance organization.

Governance, Risk & Regulatory Support