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Innovation Endeavors
Innovation Endeavors

Compliance Manager



Legal, Sales & Business Development
New York, NY, USA
Posted on Tuesday, October 31, 2023

Reports to: Compliance Director

About AlphaSense:

AlphaSense is a market intelligence platform used by the world's leading companies and financial institutions. Since 2011, our AI-based technology has helped professionals make smarter business decisions by delivering insights from an extensive universe of public and private content—including company filings, event transcripts, news, trade journals, and equity research. Our platform is trusted by over 3,500 enterprise customers, including a majority of the S&P 500. Headquartered in New York City, AlphaSense employs over 1,000 people across offices in the U.S., U.K., Finland, and India. For more information, please visit

About the Team:

AlphaSense’s Expert Insights is a transformative form of market intelligence content. Through transcripts covering thousands of companies, it captures the unfiltered views and insights of business operators in the trenches, interviewed by professional investors who drill into key questions on what’s truly important about a company at each moment in time. AlphaSense’s library of over 35,000 transcripts is the market’s broadest, covering all sectors of the economy, with thousands more published each month. AlphaSense is quickly becoming a table-stakes solution for institutional investors to choose the right companies to invest in, while gaining rapid adoption among all other consumers of market intelligence from sell-side research and banking, consultancies and large corporations.

About the Role:

We’re looking for a Compliance Manager to help shepherd our compliance controls related to the full life-cycle of one-on-one expert calls for our client-driven research. This Compliance Manager role will be equal parts project manager and compliance officer. You will be housed within the Compliance team while working closely with Research Management, Engineering, and UX. You will be the client-facing compliance expert who directly engages with clients to obtain detailed information regarding their compliance requirements for one-on-one expert calls. You will then communicate, track and transfer that information into our enterprise-grade information systems ensuring that each client’s needs are correctly captured and available to the Research Management team. The Compliance Manager will be a go-to resource for the Research Management team, Engineering team, and UX team as they rapidly scale to match our tremendous growth within client-driven research. Your efforts will ensure a best-in-class experience for our client-driven research clients.

Who You Are:

  • A Proven Project Manager: You have experience as a project manager working as the link between internal resources and external clients over extended periods of time.
  • A Regulatory Compliance Specialist: You have administered compliance procedures to prevent insider trading and market abuse at either an investment manager, a regulatory consulting firm, or an expert network.
  • An Advocate for the Client: You possess the ability to empathize with and understand our clients’ needs and have an obsession with delivering continuously improved client experiences.
  • Communication and Collaboration oriented: You understand the significance of a single chance to gather vital information from clients and are skilled at communicating that crucial data to numerous internal stakeholders. You are comfortable using both electronic communications and video conferences in order for our clients to feel confident their requests and requirements have been heard.
  • Entrepreneurial: You have experience driving clients’ feature adoption through enduring consistency, enthusiastic interactions, and a solution orientation. Where others are dissuaded by a system limitation, you see an opportunity to build new system features.
  • Passionate: You recognize the immense value AlphaSense Expert Insights can bring to the market because of your background in financial services.

What You’ll Do:

  • Interact daily with client-driven research clients through video conferencing and electronic communications to ensure a best-in-class onboarding experience.
  • Work closely with your Compliance colleagues, Research Management, Engineering, and UX to ensure clients’ compliance controls are fully understood and effectively implemented.
  • Serve as a go-to compliance resource for the Research Management team.
  • Perform analysis to identify opportunities to improve processes and systems.
  • Identify desirable new features within systems and partner with Engineering and UX to bring the new features to clients.
  • Drive research efforts to understand emerging compliance needs and inform development priorities.
  • Communicate effectively both verbally and in writing. Translate client needs into actionable solutions.
  • Work closely with Engineering and UX to ensure features meet acceptance criteria. Show the sort of attention to detail in acceptance testing that comes from caring deeply about the quality of the product and the clients’ experiences.
  • Measure the success & impact of your efforts.

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.

Base Compensation Range*: $75,000 - $85,000

Additional Components: You may also be offered a performance-based bonus, equity, and a generous benefits program.

*For base compensation, we set standard ranges for all US-based roles based on function, level and geographic location, benchmarked against similar stage growth companies and internal comparables. In order to be compliant with local legislation, as well as to provide greater transparency to candidates, we share salary ranges on all job postings regardless of desired hiring location. Final offer amounts are determined by multiple factors including geographic location as well as candidate experience/expertise and may vary from the amounts listed above.