EXPERIENCED COMPLIANCE ANALYST New York, NY
5 Days onsite in Downtown Manhattan
The Role
Our client, a NYC-based trading firm is looking for a Compliance Analyst to join their legal and compliance team.
- The team is generally responsible for establishing, implementing and maintaining adequate policies and procedures to ensure compliance of the firm with its legal and regulatory obligations.
- Tasks will primarily include surveillance and monitoring of firm trading activity, documenting and updating policies, managing regulatory reporting, examinations and communications, training and inducting staff, managing exchange memberships, actively advising on compliance matters, and monitoring regulatory developments and best practices.
- The person will join a collaborative team that together operates the compliance function from start to finish, advising senior management and supervising outside counsel and consultants, but also rolling up sleeves and doing anything that arises, whether it s routine, complex, or even unrelated to primary functions.
About You
- The ideal candidate must have an impeccable professional background and at least 4 years of relevant experience at or with similarly-regulated trading businesses, such as SEC-registered dealers.
- You must be a self-starter and have strong prioritization skills.
- Organization, superior attention to detail, and ability to multitask are required.
- Prior experience at a regulatory agency, experience with derivative markets, and a legal background are each a plus.
Range reflects annual base salary. Total compensation packages are comprised of base salary and a discretionary bonus.