About this role
Compliance Analyst at Rockefeller Capital Management. Location: New York, New York, United States. Role: executing tests, maintaining documentation, preparing reports Requirements: Bachelor's degree required, 1-2 years compliance/internal audit/risk experience, prior broker-dealer or RIA compliance experience, knowledge of securities regulation and investment adviser/company acts, experience with compliance testing and reporting, Microsoft Office proficiency. Category: Legal and Compliance Seniority: Entry Level Tools: Bloomberg AIM, Investortools Perform, Microsoft Outlook, Microsoft Word, Microsoft Excel, Microsoft PowerPoint, Microsoft Copilot Commitment: Full Time Workplace: Onsite Languages: English