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The acquisition of Tegus by AlphaSense in 2024 advances our shared mission to empower professionals to make smarter decisions through AI-driven market intelligence. Together, AlphaSense and Tegus will accelerate growth, innovation, and content expansion, with complementary product and content capabilities that enable users to unearth even more comprehensive insights from thousands of content sets. Our platform is trusted by over 6,000 enterprise customers, including a majority of the S&P 500. Founded in 2011, AlphaSense is headquartered in New York City with more than 2,000 employees across the globe and offices in the U.S., U.K., Finland, India, Singapore, Canada, and Ireland. Come join us!
The Compliance Analyst, Expert Network plays an important role in supporting AlphaSense's expert network compliance program by helping execute core compliance operations accurately, consistently, and in accordance with established policies. Reporting to the Head of Expert Network, this role supports expert onboarding, compliance reviews, governance activities, and regulatory processes that help maintain the integrity of AlphaSense's expert network platform.
Working closely with Compliance, Legal, Product, Customer Operations, and Commercial teams, the Compliance Analyst helps ensure expert engagements meet company policies and applicable regulatory requirements while supporting a scalable, efficient compliance program.
This role is well suited for someone looking to build experience in compliance operations, securities law, expert network compliance, governance, and risk management within a fast-paced technology company.
What You'll Do:- Support the execution of AlphaSense's expert network compliance program, including compliance policies, training logistics, and ongoing monitoring activities.
- Perform expert onboarding and screening reviews, including employment conflicts, confidentiality considerations, and MNPI risk assessments in accordance with established protocols.
- Conduct pre-call, live-call, and post-call compliance reviews, escalating potential issues through established procedures.
- Support the use of compliance monitoring tools and call screening analytics while tracking and resolving flagged items.
- Support documentation and logistics for compliance risk assessments and annual testing activities, under the direction of senior compliance leadership.
- Compile background materials for client due diligence requests and compliance discussions.
- Prepare and maintain compliance attestations, certifications, governance documentation, testing logs, risk registers, and training records.
- Support incident intake, documentation, remediation tracking, and quarterly compliance reporting.
- Partner with Customer Operations, Product, Sales, and Legal teams to answer routine compliance questions and escalate complex matters appropriately.
- Assist with the development and maintenance of compliance training materials and support rollout of updated compliance procedures to affected teams.
- 0 to 2 years of experience in operations, administrative, customer support, compliance operations, or similar process-based roles is helpful, and fresh graduates are encouraged to apply.
- Familiarity with securities laws, insider trading regulations, material non-public information (MNPI), and conflict of interest principles. Additional role-specific training will be provided.
- Highly detail-oriented with a demonstrated ability to consistently follow established policies, procedures, and documented workflows.
- Strong written communication skills in English, with the ability to follow templates closely and produce clear, professional, error-free responses.
- Organized, reliable, and able to manage multiple requests, track deadlines, and stay composed while handling a steady volume of work.
- Sound judgment, including knowing when to rely on established guidance and when to escalate issues to senior compliance leadership.
- Comfortable working with compliance systems, case management tools, monitoring technology, and AI-assisted productivity tools.
AlphaSense is an equal-opportunity employer. We are committed to a work environment that supports, inspires, and respects all individuals. All employees share in the responsibility for fulfilling AlphaSense’s commitment to equal employment opportunity. AlphaSense does not discriminate against any employee or applicant on the basis of race, color, sex (including pregnancy), national origin, age, religion, marital status, sexual orientation, gender identity, gender expression, military or veteran status, disability, or any other non-merit factor. This policy applies to every aspect of employment at AlphaSense, including recruitment, hiring, training, advancement, and termination.
In addition, it is the policy of AlphaSense to provide reasonable accommodation to qualified employees who have protected disabilities to the extent required by applicable laws, regulations, and ordinances where a particular employee works.
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