Compliance Analyst, Expert Network
Alpha Sense · Delhi ·
- Category
- Legal
- Experience
- 2+ years
About AlphaSense:
The world’s most sophisticated companies rely on AlphaSense to remove uncertainty from decision-making. With market intelligence and search built on proven AI, AlphaSense delivers insights that matter from content you can trust. Our universe of public and private content includes equity research, company filings, event transcripts, expert calls, news, trade journals, and clients’ own research content.
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!
About the Role:
The Compliance Analyst, Expert Network plays an important role in supporting the day-to-day compliance needs of AlphaSense's Expert Network business. Reporting to the Head of Expert Network, this role supports expert sourcing and onboarding, client compliance onboarding and inquiries, and other compliance questions that arise across the Expert Network business.
As part of the Compliance team, the Compliance Analyst will help review experts being considered for client projects, apply AlphaSense's sourcing and compliance policies, and provide guidance to the teams responsible for sourcing experts. The role will also support client-specific compliance requirements and help respond to questions and concerns from clients about AlphaSense's Expert Network compliance practices.
This role is well suited for someone who is interested in developing experience in compliance within a fast-paced technology company. The analyst will receive training on AlphaSense's Expert Network business, compliance policies, and sourcing requirements and will learn how to apply that guidance to different situations and when to escalate questions for additional review.
What You'll Do:
- Review prospective experts for client projects to identify potential compliance considerations and determine whether they can be sourced in accordance with AlphaSense's policies and client-specific requirements.
- Conduct expert onboarding and compliance reviews, including assessing current and prior employment, the companies and topics experts may be asked to discuss, confidentiality obligations, and potential material non-public information (MNPI) concerns.
- Serve as a day-to-day compliance resource for teams sourcing experts, providing guidance on sourcing requirements, reviewing questions that arise throughout the sourcing process, and escalating complex or higher-risk matters as appropriate.
- Support the compliance aspects of client onboarding by reviewing client-specific requirements and restrictions, establishing appropriate sourcing protocols, and ensuring requirements are accurately communicated and implemented.
- Support ongoing client compliance needs by responding to questions and concerns, assisting with due diligence requests and compliance questionnaires, and providing information regarding AlphaSense's Expert Network compliance policies and processes.
- Address compliance matters that arise in the day-to-day operation of the Expert Network business, applying established policies and procedures and coordinating with Legal and other internal stakeholders when additional review is required.
- Maintain accurate records of compliance reviews, decisions, and client requirements, and contribute to the development and maintenance of compliance policies, procedures, internal guidance, and training materials.
Who You Are:
- 2-4 years of experience in compliance, legal, operations, customer support, financial services, or another role involving research, analysis, or process-based work is helpful. Recent graduates are encouraged to apply.
- Interested in developing knowledge of compliance concepts relevant to expert networks, including confidentiality, material non-public information (MNPI), and insider trading considerations. Prior experience with these topics is helpful but not required; role-specific training will be provided.
- Highly detail-oriented, with the ability to review information carefully, identify relevant details, and consistently apply established policies and procedures.
- Strong analytical and problem-solving skills, with an interest in working through different scenarios and using established guidance to determine the appropriate next steps.
- Strong written and verbal communication skills in English, with the ability to communicate clearly and professionally with both internal teams and clients.
- Organized and reliable, with the ability to manage multiple requests, prioritize work, and maintain accuracy in a fast-paced environment.
- Sound judgment, including knowing when a question can be addressed using established guidance and when it should be escalated for additional review.
- Comfortable learning and working with new systems, tools, and technology used to support compliance processes.
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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