Analyst - Compliance
Core
Manage the onboarding and offboarding of employee personal securities trading accounts and maintain accurate records in compliance systems.
Role type
Analyst - Compliance (Financial Services)
Builds
Internal compliance reporting and regulatory disclosure systems
Domain
Financial Services / Investment Banking / Compliance
Deliverable
dashboards & analysis
Required skills
Microsoft Office (Word, Excel, PPT), record maintenance, regulatory inquiry response, stakeholder liaison, prioritization, attention to detail
Preferred skills
Prior experience in compliance, legal, financial services, or administrative support
Responsibilities
Facilitate onboarding and offboarding of employee trading accounts, coordinate electronic data feed connections, liaise with employees regarding trading disclosure obligations, produce periodic management reporting, maintain compliance operating procedures, respond to regulatory or audit inquiries
Seniority
Individual Contributor, Analyst level