Broker-Dealer Compliance

  • 75,000
  • New York, NY, USA
  • Permanent, Full time
  • Linium Resources
  • 08 Feb 19

Premiere boutique Broker-Dealer is seeking a Compliance Analyst to contribute to this growing organization. *MUST HAVE CAPITAL MARKETS OR BUY-SIDE COMPLIANCE EXPERIENCE*

  • Interaction with the Front Office / Business Management / Compliance / Global KYC Due Diligence Teams
  • Respond to internal and external inquiries
  • Reporting project updates to Senior Management on a weekly basis
  • Ability to independently streamline processes and build best practices
  • Assist with the implementation and maintenance of the Firms trade surveillance program.
  • Assist in annual regulatory examinations (e.g., SEC, FINRA, and NFA) and responding to regulatory inquiries
  • Advise front office and support functions (technology, middle- and back- office departments) on implementation of regulatory initiatives.
  • Assess design and operating effectiveness of processes around KYC onboarding and remediation, enhance due diligence and screening. 
  • Perform other related duties, including short or long-term projects, as assigned by senior staff.
  • Work closely with front/middle office teams to ensure the necessary coordination, reporting and transparency with key stakeholders in order to meet periodic deadlines


What you’ll need: 

  • 2+ years minimally in the compliance field within a broker dealer or financial services firm 
  • Bachelor’s Degree required 
  • Experience with SEC, FINRA, and other rules and regulations
  • Cross product knowledge; Fixed Income, Equity, Derivatives
  • Thorough understanding of trade reporting requirements.
  • Strong interpersonal skills – ability to work well in a team and be able to communicate effectively with colleagues, customers, and clients
  • Ability to quickly develop a deep knowledge of the company, industry, products and services.
  • Manage deadlines and prioritize responsibilities to effectively meet business needs.