Compliance Analyst
Duration: 6 months
Possibility of Extension: Y
Possibility of conversion to FTE: Y
Working hours: 8-5
Working Location: New York [Hybrid]
Role Mandate: The Compliance Officer assists Compliance management in the effective implementation, maintenance, and administration of the Global Markets Compliance Program. The role provides compliance advisory services, coordinates and performs ongoing risk assessments, and conducts monitoring and surveillance activities to ensure that the Compliance Program remains current and aligned with the Firm’s Enterprise-wide Compliance Program.
Role Responsibilities Include (but are not limited to):
• Initiate and monitor testing related to the equities trading business
• Monitor controls that cover trade reporting, execution, and electronic communication
• Assist in policy creation and streamlining of existing procedures
• Branch inspection reviews covering the various locations the business runs out of
• Knowledge of U.S. securities rules and regulations; particularly SEC and FINRA.
• Coordinate and perform ongoing risk assessments and compliance reviews to ensure compliance policies and risk controls are operating appropriately. Create analyses of risk assessments for LOB business group(s). Identify and analyze factors which may affect risk mitigation and compliance with applicable regulatory requirements.
• Elevate high profile or high risk cases to the Compliance and LOB management to ensure visibility and prompt resolution.
• Perform ongoing validation of monitoring strategies to ensure appropriate governance and control. Identify observations of trends and recommendations to optimize data.
Must-Have Skills:
• College Degree
• 1-3 years experience in Compliance
• Strong attention to detail, communication skills, critical thinking skills, and people/project management skills
• Willing to take initiative, ask questions, and foster an overall positive team environment
Nice to Have Skills:
• Previous compliance experience at a major Financial Institution
• Previous experience with Smarts [surveillance software]
• Knowledge of U.S. securities rules and regulations; particularly SEC and FINRA.SIE EXAM