Compliance Analyst

BBR Partners is a boutique wealth management firm providing customized investment strategies and bespoke advice to high-net-worth individuals and families. Our clients comprise the brightest minds of the tech, finance, and investment eco systems, entrepreneurs, philanthropists, business founders and influential families who entrust us with the holistic care of their fiscal well-being.

Founded in early 2000, we have fostered our culture by hiring talented people from diverse backgrounds who care about each other, our clients, and our collective communities. In our quest for continuous improvement, we strive to develop not only world class talent, but world class humans.

The Compliance Analyst reports to the VP of Compliance and will play a critical part in verifying that our operations and business transactions follow all relevant legal and internal rules. This is a full-time position that requires the ability to work on premises from our New York City headquarters three days per week.   

Responsibilities:         

• Assist in the development, implementation, and management of compliance programs designed to keep the company compliant with all regulatory requirements.
• Coordinate with VP and CCO to review and update company policies and procedures in line with the latest financial regulations.
• Help conduct internal reviews and audits to verify that compliance procedures are followed.
• Prepare comprehensive reports detailing compliance findings, risk areas, and propose action plans to mitigate risks.
• Stay abreast of all local, state, and federal regulations as well as industry trends that could impact the business's compliance protocols.
• Assist in compliance-related training sessions and workshops to inform all employees of their compliance obligations.
• Collaborate with cross-functional teams to foster company-wide understanding and adherence to compliance protocols.
• Participate in or lead special projects as assigned, such as creating new internal processes or analyzing specific regulatory changes' impact on business operations.
• Respond to compliance inquiries from within the company and proactively identify potential compliance issues.
• Track, log, and verify completion of actions taken to resolve compliance issues.
• Verify that any compliance-related incidents or breaches are properly documented, investigated, and reported in a timely manner.
• Assist with review and approval of marketing materials and external communications for regulatory compliance.

Ideal Qualifications:             

• An undergraduate degree in Finance, Business Administration or a related field with a strong academic track record is preferred. 
• Demonstrated interest or 1-2 years of experience in compliance, preferably in the financial industry.
• Ability to learn industry regulations and standards.
• Exceptional attention to detail and excellent problem-solving skills.
• Ability to act autonomously, and approach work with a learning mindset.
• Excellent communication and collaboration skills.
• Comfortability with MS Office Suite, including Excel.

What We Offer:

• Competitive base salary and incentive compensation.
• Company subsidized medical/Rx, dental and vision insurance for employee, partner, and dependents.
• 401K plan, Life insurance, and short & long-term disability coverage.
• One Medical membership (covered for employee and dependents), Employee assistance program (EAP), Gym reimbursement and other wellness offerings.
• Pre-tax transit and parking programs, Health Savings Account (HSA) and flexible spending programs for medical and dependent care.
• Personalized development and career growth opportunities.
• Volunteerism opportunities and matching gift program.
• Flexible time off, paid parental leave, and Sabbatical with company tenure.
• Hybrid remote work environment, “Work from Anywhere” weeks, and casual dress. 
• New office space with a variety of perks and amenities including catered lunches and stocked pantry.

Additional Information:

Base salary for this position will be determined during the interview process and will vary based on multiple reasons, including but not limited to prior experience, relevant expertise, current business needs, and market factors. The expected base salary for the role will generally be between $70,000 and $85,000 per year at the commencement of employment, but the final salary offered may be outside this range based on these reasons and individual circumstances. Additionally, base salary is only part of the total compensation package, which, depending on the position, may also include discretionary bonuses, alternative incentive packages and Company-sponsored benefit programs. This position is at-will, and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors.