Role details

Compliance Analyst

New York   •  Permanent

Bullet points

  • Great Opportunity to join a Prestiguous Broker Dealer
  • Junior Compliance Officer Role!

About Our Client

Prestigious Broker Dealer in midtown Manahattan.

Job Description

  • 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!

Apply for this job

Click the Apply or LinkedIn button below or contact Edward Whitehead quoting job reference 1212574
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