Job Description

Job Description

We are seeking a detail-oriented and motivated Junior Compliance Analyst to support our regulatory compliance function within a financial services environment. This role is ideal for someone looking to build a career in compliance and gain hands-on experience with regulatory requirements, internal controls, and compliance monitoring activities. The Junior Compliance Analyst will assist in ensuring the firm adheres to applicable laws, regulations, and internal policies .

Key Responsibilities:

• Assist in monitoring and assessing compliance with applicable financial services regulations (e.g., SEC, FINRA, FCA, AML, KYC, or equivalent, depending on jurisdiction).
• Support the development, maintenance, and review of compliance policies, procedures, and controls.
• Conduct periodic compliance testing, reviews, and surveillance under the direction of senior compliance staff.
• Assist with regulatory filings, reporting, and responses to regulatory inquiries or examinations.
• Help track and document regulatory changes and support impact assessments.
• Review client documentation and transactions for compliance with regulatory and internal requirements.
• Maintain accurate compliance records, logs, and documentation.
• Escalate potential compliance issues or breaches to senior team members in a timely manner.
• Collaborate with business, risk, and legal teams as needed.

Qualifications & Experience

• Bachelor’s degree in Finance, Accounting, Business, Economics, Law, or a related field.
• Previous experience in compliance, risk, audit, or a related financial services role (internship experience considered).
• Basic understanding of financial services regulations and compliance principles.
• Strong attention to detail and organizational skills.
• Ability to analyze information, identify issues, and document findings clearly.
• Proficiency in Microsoft Office (Excel, Word, PowerPoint).
• Strong written and verbal communication skills.

"Ascendo is a certified minority owned staffing firm, we welcome and celebrate diversity. Ascendo is an Equal Opportunity Employer and does not discriminate on the basis of race, color, religion, sex including pregnancy and gender identity), national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, retaliation, parental status, military service or any non-merit factor.”

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