Investment Banking Compliance/Supervision Analyst- FINRA Series 9/10 or 24
Core
Capital Markets Compliance Analyst supporting regulatory compliance for M&A Services, including filing forms, managing the Associated Persons register, conducting OFAC checks, and overseeing branch inspections.
Role type
Senior IC compliance analyst
Builds
Regulatory compliance programs and reporting for Capital Markets
Domain
Banking / Financial Services / Regulatory Compliance
Required skills
Data analysis, Regulatory knowledge (FINRA Series 9/10 or 24), Risk and Control Self-Assessment (RCSA), Operational risk management, Microsoft Office proficiency, Communication
Preferred skills
Archer / RSA Archer, WorldCheck, Protogent/PTA, SMARSH
Technologies
Archer, RSA Archer, WorldCheck, Protogent/PTA, SMARSH, Microsoft Word, Excel, Access
Responsibilities
Monitor legal entity and business unit activity for compliance; Prepare and review compliance reports; Facilitate filing of Forms U4, U5, and Fingerprints; Manage the Associated Persons register; Perform OFAC checks and daily screening reviews; Review Electronic Communications and Marketing materials; Support Regulatory Control environment and RCSA.
Seniority
Senior, hands-on IC