Analyst - Compliance at Brooklyn Investment Group

Sandy, Utah, United States

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Not SpecifiedCompensation

Entry Level & New GradExperience Level

Full TimeJob Type

UnknownVisa

Investment Management, Real Estate, Financial ServicesIndustries

Requirements

Bachelor's degree with an excellent record of academic achievement
Entry-level candidates welcome; internships or experience in compliance or financial services a plus
Attention to detail
Ability to work discreetly with confidential information
Clear communication
Organization
Proficiency in Microsoft Office
Proactive, accountable, and eager to learn in a fast-paced environment

Responsibilities

Support routine compliance checks and reviews of investment and marketing activities to ensure adherence to internal policies and regulatory requirements
Help review external communications (e.g., investor letters, pitch decks, DDQs) for regulatory alignment
Help maintain records and train users in systems to ensure that all disclosures and representations are accurate, aligned with regulations, and consistent with internal policies
Help monitor employee communications to identify potential risks; maintain logs and appropriately escalate as necessary
Maintain organized records and assist with internal and regulatory reporting
Contribute to policy updates, certifications, and pre-clearance processes; assist with policy-related questions and support certifications and pre-clearance requests from staff
Work with investment, legal, operations, and investor relations teams to promote firmwide compliance; participate in projects and broader risk compliance initiatives
Participate in training, keep current with industry regulations, and help reinforce a culture of compliance across the business

Skills

Compliance Monitoring

Regulatory Review

Marketing Oversight

E-Communication Surveillance

Documentation

Policy Support

Cross-Team Collaboration

Training

Brooklyn Investment Group

Integrates crypto and equity portfolios for advisors

About Brooklyn Investment Group

Brooklyn connects traditional financial advisors with digital wealth management by offering a platform for customized portfolios that include both cryptocurrency and equity investments. The platform features automated tax loss harvesting to enhance after-tax returns and provides professional risk management guided by an experienced Chief Investment Officer. Brooklyn's leadership team has extensive backgrounds in finance and technology, allowing them to deliver advanced tools and services to financial advisors. The company's goal is to improve investment performance and risk management for its clients.

New York City, New YorkHeadquarters

2016Year Founded

$14.5MTotal Funding

SEEDCompany Stage

Fintech, Financial ServicesIndustries

11-50Employees

Risks

Increased competition from fintech companies could erode Brooklyn's market share.

Cryptocurrency market volatility poses risks to Brooklyn's crypto portfolios.

Regulatory scrutiny on AI-driven services may increase compliance costs for Brooklyn.

Differentiation

Brooklyn integrates crypto and equity portfolios for financial advisors.

The platform offers automated tax loss harvesting to enhance after-tax returns.

Brooklyn's leadership includes experts from top-tier financial institutions.

Upsides

Brooklyn raised $21 million in Series A funding to scale its platform.

The rise of DeFi offers new crypto investment opportunities for Brooklyn.

Increased regulatory clarity around crypto benefits Brooklyn's portfolio offerings.

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