Brooklyn Investment Group is an SEC-registered Investment Adviser that leverages the technology of its parent company, Brooklyn Artificial Intelligence Research. This technology is combined with institutional-grade portfolio optimization and automated tax-loss harvesting to power personalized portfolios for our clients, including financial advisory firms and asset managers.
Over the past five years, Brooklyn Artificial Intelligence Research has developed a powerful engine for customizing investment portfolios and more than $5 billion has been traded on its portfolios to date.
Our growing team comes from top universities and financial institutions such as Goldman Sachs, Citadel and Bridgewater Associates.
Opportunity
As a Compliance Analyst, you’ll play the role of coordinating and executing our compliance efforts internally and with relevant third-party advisors, under the supervision of the Head of Operations and the Chief Compliance Officer. The Compliance Analyst will also work on other operational tasks, on an as needed basis.
Responsibilities
- Ensure that ongoing compliance requirements are met and documented with accuracy and excellence (quarterly and / or annual requirements, ongoing requests, etc.)
- Liaise with various stakeholders to ensure that all marketing materials are compliant
- Work on integrating any tech-enabled efforts to drive compliance efficiencies
- Coordinate company-wide implementation of any new compliance requirements relevant to the firm
- Assist in compliance-related areas of client and / or vendor due diligence
- Partner with Head of Operations and General Counsel on compliance-related areas of transaction documentation
- Coordinate compliance-related employee onboarding
- Assist with any regulatory inquiries and / or examinations
- Identify process inefficiencies, and execute applicable remedies, while building consensus around these with the rest of the team
- Other operational matters, as needed and assigned
Skills & Experience
- Minimum of 2 years of experience in SEC-regulated compliance organization
- Working knowledge of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940 and an investment advisory firm’s requirements
- Desire to work in fast-paced environment with a high attention to detail that’s at the cutting edge of investment management innovation
- Ability to work both independently and in a team environment, while taking responsibility for seeing projects through to their completion
- Excellent writing skills, including experience writing memoranda, and procedure and policy documents
- Strong verbal communication and presentation skills
- Ability to balance multiple priorities and demands concurrently
