Global Advisory, Legal & Compliance Analyst, NY jobs in United States
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Rothschild & Co · 1 day ago

Global Advisory, Legal & Compliance Analyst, NY

positionNew York, United States
timeFull-time
remoteOnsite
seniorityNew Grad, Entry Level
money$75K/yr - $90K/yr

Rothschild & Co is a leading global financial services group with over 200 years of experience. They are seeking an Analyst to provide compliance monitoring and support for their broker-dealer compliance program, working closely with legal and compliance personnel as well as investment banking staff.

AdviceConsultingFinancial ServicesWealth Management
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Comp. & Benefits
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H1B Sponsor Likelynote

Responsibilities

Maintaining our electronic compliance management system
Performing conflicts checks
Assisting with new client due diligence and take-on procedures, including anti-money laundering checks
Monitoring employee outside business activities and financial interests
Assisting with regulatory filings and responses to regulatory inquiries and audits
Handling internal compliance reporting
Monitoring employee personal trading, including handling trade and account approvals
Assisting with corporate housekeeping (e.g., corporate resolutions and minutes)
Participating in the annual compliance audit
Assisting with responses to litigation-related document production requests
Assisting with additional legal and compliance projects as needed

Qualification

Compliance monitoringFinancial services experienceAnalytical skillsMS Office proficiencySound judgmentAttention to detailTime managementCommunicationTeam player

Required

Bachelor's Degree
Prior work experience in compliance, the financial services industry or as a paralegal
Excellent time management and follow up skills
Attention to detail
Analytical
Team player
Strong communication skills
Ability to work under pressure and manage multiple deadline and priorities
Sound judgment and discretion in dealing with highly confidential/sensitive business matters
Ability to interface effectively with all levels of employees
Proficient in MS Office (Outlook, Excel, Word and PowerPoint)

Benefits

Rothschild & Co employee benefits package
Discretionary bonus

Company

Rothschild & Co

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Rothschild & Co is a financial consultancy firm that offers wealth management, investment planning, and debt advisory services.
dateFounded in 1798
location
London, England, GBR
people-size1001-5000 employees
web-link
https://www.rothschildandco.com/en/global-advisory/equity-advisory/

H1B Sponsorship

Rothschild & Co has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (5)
2024 (10)
2023 (3)
2022 (4)
2021 (3)
2020 (6)

Funding

Current Stage
Late Stage

Leadership Team

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Adam Reeder
Global Partner - Head of Industrials (N. America), Global Co-Head of Building Products & Materials
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Andrew Heinrich
Private Equity Associate, Five Arrows Capital Partners
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