Junior Compliance Officer
Junior Compliance Officer
Mission Staffing
New York City Metropolitan Area
See who Mission Staffing has hired for this role
Our client, a prestigious global investment management firm located in New York, NY, is seeking a highly motivated and detail-oriented Junior Compliance Analyst to join their esteemed organization. This individual will play a critical role in overseeing and managing internal employees' personal trading activities to ensure compliance with the firm's policies and regulatory requirements.
Responsibilities:
- Assist in drafting, maintaining, and implementing compliance and conflicts of interest policies, specifically related to employee trading activities.
- Monitor adherence to the firm's policies, procedures, and protocols, with a particular focus on personal trading activities.
- Prepare and maintain comprehensive documentation and reports related to compliance activities, ensuring accuracy and regulatory compliance.
- Provide training and guidance to employees on compliance policies and procedures related to personal trading, fostering a culture of compliance within the organization.
- Identify and address any compliance issues or breaches promptly, working with relevant stakeholders to implement corrective actions.
- Stay current with regulatory changes and updates in the financial services industry, ensuring the firm's policies and practices remain compliant with all relevant laws and regulations.
- Work closely with other departments, including legal, risk management, and trading, to support the overall compliance framework of the organization.
Qualifications:
- Bachelor’s degree in Finance, Business, Law, or a related field preferred.
- Strong understanding of compliance regulations and best practices within the investment management industry.
- Excellent analytical, organizational, and communication skills, with a keen attention to detail.
-
Seniority level
Associate -
Employment type
Full-time -
Job function
Legal -
Industries
Banking, Financial Services, and Investment Banking
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