Compliance Analyst

We are seeking a detail-oriented and proactive Compliance Analyst to join our team. This role is critical in ensuring regulatory compliance and operational integrity during the onboarding of new institutional clients, particularly insurance companies. The Compliance Analyst will assist with the process to facilitate agreements with new clients, existing clients and other third parties.

Additional responsibilities include coordinating the annual audit process, partnering with external auditors and internal stakeholders to ensure timely execution, comprehensive control documentation, and effective remediation of findings. The Compliance Analyst adheres to regulatory standards and internal policies by monitoring, evaluating and improving compliance programs.

This role requires a team-oriented person with strong analytical, communication and problem-solving skills, along with a solid understanding of industry regulations and risk management practices. Works across departments to identify potential compliance risks, support audits and draft and develop procedures that align with legal and ethical standards.

Plays a key role in maintaining transparency, protecting organizational integrity and ensuring operational accountability. Typical compliance analyst duties: Contract drafting and review Coordinating compliance processes and procedures across organizational and functional boundaries Researching regulatory requirements and assisting in the development of internal policies and procedures Preparing reports and documentation to support compliance efforts and regulatory filings Providing guidance to management regarding compliance policies, practices and internal controls Ensuring critical business processes are documented and supported by appropriate controls Supporting internal audits and risk assessments to identify and address compliance gaps Collaborating with cross-functional teams to promote a culture of compliance and ethical behavior Monitoring changes in regulations and advising on necessary updates to policies and procedures Drafting policies and procedures Compliance testing of operational controls Coordinating annual compliance and controls audit Annual Audit Oversight Coordination Serve as the primary coordinator for the organization’s annual compliance and control audits, partnering closely with internal stakeholders and external auditors.

Manage the full audit lifecycle, including planning, scoping, execution support, and post-audit remediation tracking. Act as the central point of contact for auditors, ensuring timely and accurate delivery of requested documentation, control evidence, and process narratives. Coordinate cross-functional teams (e.g., Compliance, Legal, Operations, Technology) to ensure audit readiness and alignment of control documentation with regulatory requirements.

Maintain and update audit-related documentation, including control matrices, narratives, testing evidence, and certifications, ensuring consistency with internal policies and regulatory filings. Client Onboarding IMA Review, and updates to existing client contracts Collaborate with legal to review and interpret IMAs for new insurance clients.

Ensure onboarding documentation complies with internal policies and regulatory requirements. Identify and escalate contractual compliance risks and inconsistencies. Draft contracts and amendments with clients, prospects and vendors Compliance Monitoring Reporting Assist in the development and execution of compliance monitoring programs tailored to insurance mandates.

Maintain accurate records of compliance reviews and findings. Prepare periodic reports for senior management and regulatory bodies. Work with external auditors on full-cycle annual audit to include cybersecurity, trading and testing PTCC Regulatory Adherence Stay current with relevant regulations (e.g., SEC, NAIC,) impacting insurance asset management.

Support regulatory filings and audits as needed. Policy Procedure Development Contribute to the drafting and updating of compliance policies and procedures. Provide guidance to internal stakeholders on compliance best practices. Training Communication Assist in delivering compliance training to staff involved in client onboarding and account management.

Act as a liaison between compliance and departments to ensure consistent understanding of regulatory obligations.