Join our finance/banking client for a 6 month contract!
The role would require going onsite twice per week in New York City 10036.
W2 ONLY
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
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).
Seniority level
Entry level
Employment type
Contract
Job function
Legal
Industries
Banking
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