Compliance Officer, Analyst
Btig27 · New York, New York, United States · Posted Jul 8, 2026
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Job Purpose:
BTIG seeks a motivated and detail-oriented Compliance Analyst to join our Compliance team. This entry-level role is critical in supporting the firm’s Compliance program, ensuring that BTIG is adherence with the rules and regulations of the SEC, FINRA as well as Firm policies. The ideal candidate is organized, adaptable, eager to learn, and should be a team player.
Duties Responsibilities:
Provide administrative support to the Compliance team as needed.
Review of Employee Personal Trade Preclearance Requests
Process background check on request for Account coverage
Review/Audit of Employee’s Electronic Communications
FINCEN review
Responsible for tracking and reviewing Of Non-direct feed Employee Account Statements
Prime and DMA Documentation audit
Adhoc internal audits as needed
Requirements Qualifications:
Bachelor’s degree is preferred.
0–2 years of related experience.
Excellent written, verbal, visual, and interpersonal communication skills
Strong attention to detail and organizational abilities
Collaborative, professional, and positive attitude
Ability to adapt and prioritize in a fast-paced environment
Curious and open to learning about emerging trends, new rules and regulations and technologies. We are happy to train you!
Discretion and professionalism when working with confidential information
Commitment to maintaining BTIG's high ethical standards and brand reputation
Familiarity with Microsoft Office (Word, PowerPoint, Outlook); advanced proficiency in PowerPoint, Excel charts, are highly preferred
Important Notes:
Must be authorized to work full time in the U.S., BTIG does not offer sponsorship for work visas of any type
No phone calls please, the applicant will be contacted within two weeks if successful
About BTIG:
BTIG is a global financial services firm specializing in institutional trading, investment banking, research and related brokerage services. With an extensive global footprint and more than 700 employees, BTIG, LLC and its affiliates operate out of 20 cities throughout the U.S., and in Europe, Asia and Australia. BTIG offers execution, expertise and insights for equities, equity derivatives, ETFs and fixed income, currency and commodities. The firm’s core capabilities include global execution, portfolio, electronic and outsource trading, investment banking, prime brokerage, capital introduction, corporate access, research and strategy, commission management and more.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, or disability status. BTIG is an equal opportunity employer Minorities/Females/People with Disabilities/Protected Veterans/Sexual Orientation/Gender Identity.
Compensation:
BTIG offers a competitive compensation and benefits package . Salary range is based on a variety of factors including, but not limited to, location, years of applicable experience, skills, qualifications, licensure and certifications, and other business and organization needs.
The current estimated base salary range for this role is $60,000.00 - $75,000.00 per year. Please note that certain positions are eligible for additional forms of compensation such as discretionary bonus or overtime.
Disclaimer: https://www.btig.com/disclaimer.aspx .