Compliance Associate at Brooklyn Investment Group

Sandy, Utah, United States

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Not SpecifiedCompensation

Junior (1 to 2 years), Mid-level (3 to 4 years)Experience Level

Full TimeJob Type

UnknownVisa

Real Estate Investment, Financial ServicesIndustries

Requirements

Bachelor's degree with an excellent record of academic achievement
2–5+ years in control room, investment compliance, or adjacent regulatory roles within financial services
Working knowledge of conflict-management workflows, MNPI controls, and restricted list practices
Strong understanding of investment compliance frameworks and regulatory requirements
Attention to detail
Ability to work discreetly with confidential information
Strong judgment
Stakeholder management
Clear communication
Organization
Proficiency in Microsoft Office
Experience with compliance data/analytics or list-management technologies (e.g., Tableau, Bloomberg, database familiarity) preferred
Proactive, accountable, and eager to learn in a fast-paced environment

Responsibilities

Support oversight and implementation of investment adviser compliance controls, including identification and management of conflicts of interest, monitoring and handling the flow of material non-public information (MNPI) and associated control room functions, and maintaining restricted securities lists, coordinating wall-crossing approvals and related documentation
Contribute to compliance testing and surveillance of investment activity and allocations
Collaborate with various business units and compliance stakeholders to identify and mitigate compliance risks
Contribute to the development and refinement of compliance policies and procedures
Assist with policy-related questions from business units and compliance stakeholders
Maintain organized records and assist with internal and regulatory reporting
Work with investment, legal, operations, technology, 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

investment compliance

control room

conflicts of interest

MNPI

restricted securities

wall-crossing

compliance testing

surveillance

regulatory reporting

compliance policies

risk mitigation

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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