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Compliance Analyst | Capital Markets
Job in
Miami, Miami-Dade County, Florida, 33222, USA
Listed on 2026-01-12
Listing for:
Mosaic Partners
Full Time
position Listed on 2026-01-12
Job specializations:
-
Finance & Banking
Risk Manager/Analyst, Financial Services, Financial Analyst, Regulatory Compliance Specialist
Job Description & How to Apply Below
The Compliance Analyst will support the firm's compliance program with a focus on capital markets and trading activities. This role is ideal for a detail-oriented professional with foundational compliance or regulatory experience who is looking to grow within a fast-paced hedge fund environment. The analyst will work closely with senior compliance staff, trading, and operations teams to help ensure adherence to regulatory requirements and internal policies.
QUALIFICATIONS- Bachelor's degree in Finance, Accounting, Economics, Business, or a related field
- 1-3 years of experience in compliance, risk, operations, or a related function within a hedge fund, asset manager, broker-dealer, or financial services firm
- Basic understanding of capital markets products and trading activities
- Familiarity with U.S. securities regulations and compliance frameworks (SEC, Investment Advisers Act of 1940)
- Proficiency with Microsoft Excel and document management systems
- Exposure to trade surveillance, compliance monitoring, or regulatory reporting tools
This role will sit ONSITE in Miami, FL.
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