Compliance Analyst - Core Compliance
On-siteNo visa sponsorship
Core
Support the firm's core regulatory compliance program, ensuring regulatory obligations are met and promoting a culture of compliance.
Role type
Compliance Analyst
Builds
Compliance controls, regulatory reports, and policy frameworks
Domain
Financial Services / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory reporting, Personal trading policy administration, Licensing and registration coordination, Marketing material review, AML monitoring, Global policy development
Preferred skills
Experience in trading firms, broker-dealers, or asset managers
Technologies
N/A
Responsibilities
Administer personal trading policy, Coordinate licensing and registration, Conduct periodic reviews of compliance controls, Support regulatory exams and audits
Seniority
Mid-level (3-5 years experience)