Compliance Officer, Analyst
Core
Entry-level analyst supporting the Compliance team to ensure adherence to SEC, FINRA, and firm policies through administrative support, trade preclearance reviews, and audits.
Role type
Entry-level Compliance Analyst
Builds
Compliance program adherence and regulatory reporting
Domain
Financial Services / Regulatory Compliance
Deliverable
client delivery
Required skills
Review of Employee Personal Trade Preclearance Requests, Process background checks, Review/Audit of Electronic Communications, FINCEN review, Tracking and reviewing Employee Account Statements, Prime and DMA Documentation audit, Adhoc internal audits
Preferred skills
Microsoft Office (Word, PowerPoint, Outlook), Advanced Excel charts
Responsibilities
Provide administrative support to the Compliance team, Review Employee Personal Trade Preclearance Requests, Process background checks for account coverage, Review/Audit Employee Electronic Communications, Conduct FINCEN reviews, Track and review Employee Account Statements, Perform Prime and DMA Documentation audits, Execute adhoc internal audits
Seniority
Entry-level, 0–2 years experience