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- Great Opportunity to join a Prestiguous Broker Dealer
- Junior Compliance Officer Role!
About Our Client
Prestigious Broker Dealer in midtown Manahattan.
- Junior Compliance Officer wanted to support compliance controls and input disclosures
- Perform electronic communications reviews
- Conduct Compliance control testing and both memorialize results in writing
- Assist in chaperoning communications between sensitive firm departments
- Research compliance issues as necessary
- Assist in the creation or update to Compliance policies and procedures
The Successful Applicant
- A self starter who has worked at a bank or bvroker dealer
- Exceptional research and analytical skills with the ability to analyze large amounts of data
- Bachelor Degree required
- Minimum 2years experience working for the Compliance Department within a FINRA member broker dealer
What's on Offer
Excited opportunity for a junior compliance analyst to expand and grow their career!