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Entry Level - Compliance Analyst

New York

Corporate Group

Ref#: 2190

Date published: 17-May-2018

ENTRY LEVEL - Compliance Analyst


Fortress seeks an entry level Compliance Analyst (prior experience neither required nor preferred) to join the Fortress Compliance Department.  Fortress is a leading SEC-registered investment adviser (operating in multiple foreign jurisdictions) with approximately $45 billion in assets under management.  The position will be based in Manhattan.

The successful candidate will work with members of the Legal and Compliance Department and other departments and businesses around the firm on, among other things, the following major items:


  • general administration of Fortress’s global compliance program
  • processing employee requests and fielding questions relating to personal trading, private investments, political contributions, gifts and entertainment and other Code of Ethics related matters
  • conducting portions of the annual compliance reviews under SEC Rule 206(4)-7
  • supporting affiliated broker-dealer entity by completing required FINRA reviews and lobbyist filings
  • assisting with the administration of Fortress’s anti-money laundering program by working with various firm businesses and external counterparties
  • assisting with the review of fund marketing materials and due diligence
  • assisting with domestic and international regulatory reporting (including SEC, NFA, FINRA, MAS, and other regulators)
  • reviewing information disclosed in compliance forms (quarterly/annual personal trading report, initial holdings, conflicts questionnaire, political contribution history, ADV disclosure, etc.) for new hires and current employees
  • conducting additional ad hoc compliance assignments, including periodic compliance testing and routine regulatory examinations

The successful candidate will have:

  • a bachelor’s degree with strong academic performance (no prior work experience required as the position is entry level)
  • superior work ethic, attention to detail, organizational and communications skills
  • serious desire to learn, grow and develop as a professional
  • a proven ability to multi-task, problem-solve and think critically
  • a technical proficiency with computer applications and/or the ability to self-teach

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Fortress Investment Group LLC collectively with its subsidiaries and operating affiliates is an equal opportunity employer and considers all applicants for employment without regard to race, religion, creed, color, sex, age, national origin, citizenship status, disability, genetic information, protected veteran status, marital status, sexual orientation, gender identity, or any other status protected by federal, state or local law.