Are you an experienced Compliance Analyst with a desire to excel? If so, then Talent Software Services may have the job for you! Our client is seeking an experienced Compliance Analyst to work at their company in New York, NY.
Position Summary: 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.
Primary Responsibilities/Accountabilities:
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.
Qualifications:
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
Preferred:
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
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Analyst and Finance
Industries
Financial Services
Referrals increase your chances of interviewing at TALENT Software Services by 2x