Job Title: Investment Analyst - Legal & Compliance
Description
We are seeking an Investment Analyst embedded within the Legal & Compliance function to provide rigorous financial analysis, regulatory risk assessment, and transaction support. This role partners with legal, compliance, and investment teams to ensure that investment decisions, third-party relationships, and portfolio activities meet regulatory requirements and internal policies. The analyst will perform due diligence, monitor regulatory developments, prepare compliance-focused investment reports, and help design controls to mitigate legal and regulatory risks.
Responsibilities
- Conduct financial and quantitative analysis to assess investment opportunities with a focus on regulatory and legal risk implications.
- Perform comprehensive due diligence on prospective investments, counterparties, and vendors, including AML/KYC and sanctions screening.
- Review and summarize legal documents, contracts, and regulatory filings to identify compliance exposures and obligations.
- Monitor changes in securities, tax, and other relevant regulations and translate implications into actionable guidance for investment teams.
- Support preparation of regulatory reports and internal compliance documentation related to investment activities.
- Develop and maintain models and dashboards to track risk metrics, limits, and compliance KPIs.
- Recommend and help implement controls, policies, and remediation plans to address identified gaps.
- Coordinate with internal stakeholders, external counsel, and regulators on inquiries, audits, and investigations.
- Prepare clear, concise reports and presentations for senior management and compliance committees.
Qualifications
- Bachelor’s degree in Finance, Economics, Law, Accounting, or a related field; advanced degree or professional certification (CFA, FRM, JD, CAMS) preferred.
- Typically 3+ years of investment analysis, compliance, or legal risk experience in financial services, asset management, or a related industry.
- Proven experience conducting due diligence, regulatory assessments, and reviewing legal documentation.
- Strong quantitative skills and experience building financial models and valuation analyses.
- Excellent written and verbal communication skills, with the ability to explain complex technical and legal topics to non-technical stakeholders.
- High attention to detail, integrity, and ability to manage multiple priorities under tight deadlines.
Skills
- Regulatory analysis, including securities regulation, AML/KYC, and sanctions screening
- Due diligence and third-party risk assessment
- Financial modeling and valuation (DCF, comparables)
- Quantitative data analysis and manipulation (Excel, SQL, Python/R)
- Legal document and contract review
- Regulatory reporting and compliance documentation
- Risk assessment, control design, and remediation planning
- Policy development and implementation
- Report writing and business presentation
- Stakeholder engagement and cross-functional collaboration
- Attention to detail and investigative mindset