Compliance Analyst
Core
Conduct communications reviews for trading teams, perform targeted searches for internal investigations, and monitor regulatory developments to assess impact on the firm's compliance framework.
Role type
Compliance Analyst (Investment Management)
Builds
Firm-wide compliance program including policies, procedures, surveillance, and reporting systems
Domain
Financial Services / Investment Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Electronic communications review, Regulatory analysis (SEC rules), Policy development, Written reporting, Data analysis, Project management
Preferred skills
Registered Investment Adviser or broker-dealer experience, Microsoft Excel/Word/PowerPoint proficiency
Responsibilities
Conduct communications reviews for trading teams, Prepare weekly and monthly memoranda summarizing surveillance findings, Monitor regulatory developments and assess impact, Support development of compliance policies and procedures, Perform targeted searches in support of internal investigations
Seniority
Junior, 1-2 years experience
