Experienced/Lateral - Compliance Analyst
Core
Establishing, implementing, and maintaining policies and procedures to ensure the firm's compliance with legal and regulatory obligations.
Role type
Compliance Analyst
Builds
Regulatory reporting and internal compliance policies
Domain
Financial services / Proprietary trading
Deliverable
dashboards & analysis
Required skills
Regulatory knowledge, spreadsheet proficiency, policy documentation, staff training, surveillance monitoring
Preferred skills
Experience in regulated environments
Responsibilities
Monitor trading activity, document new policies, manage regulatory reporting, train and induct staff, monitor regulatory developments
Seniority
Mid-level IC
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