- Interaction with the Front Office / Business Management / Compliance / Global KYC Due Diligence Teams
- Respond to internal and external inquiries
- Reporting project updates to Senior Management on a weekly basis
- Ability to independently streamline processes and build best practices
- Assist with the implementation and maintenance of the Firms trade surveillance program.
- Assist in annual regulatory examinations (e.g., SEC, FINRA, and NFA) and responding to regulatory inquiries
- Advise front office and support functions (technology, middle- and back- office departments) on implementation of regulatory initiatives.
- Assess design and operating effectiveness of processes around KYC onboarding and remediation, enhance due diligence and screening.
- Perform other related duties, including short or long-term projects, as assigned by senior staff.
- Work closely with front/middle office teams to ensure the necessary coordination, reporting and transparency with key stakeholders in order to meet periodic deadlines
What you'll need:
- 2+ years minimally in the compliance field within a broker dealer or financial services firm
- Bachelor's Degree required
- Experience with SEC, FINRA, and other rules and regulations
- Cross product knowledge; Fixed Income, Equity, Derivatives
- Thorough understanding of trade reporting requirements.
- Strong interpersonal skills - ability to work well in a team and be able to communicate effectively with colleagues, customers, and clients
- Ability to quickly develop a deep knowledge of the company, industry, products and services.
- Manage deadlines and prioritize responsibilities to effectively meet business needs.
Premiere boutique Broker-Dealer is seeking a Compliance Analyst to contribute to this growing organization. *MUST HAVE CAPITAL MARKETS OR BUY-SIDE COMPLIANCE EXPERIENCE*
Associated topics: bond, broker dealer, capital, fiduciary, market, purchase, risk, security, sell, trader