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, equity, fiduciary, financial, investor, risk, securities broker, sell, s p