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Jr. Compliance Analyst
3 months ago
Our client is a well-established, global investment bank and asset manager seeking a junior Compliance Analyst to join its first in class Compliance team. This provides an excellent opportunity for training and advancement within Financial Services Compliance & Regulation.
Key responsibilities will include:
- Monitoring employee electronic communications
- Assisting with new employee onboarding and compliance training
- Daily surveillance of the firm's Personal Investment Policy utilizing a 3rd party vendor system (StarCompliance)
- Managing employee licensing and reporting.
- Other compliance and administrative projects as required.
Requirements:
- BA in Finance or related field.
- A minimum of 1 year experience in a Compliance role in a regulated financial services environment (Broker Dealer or Asset Management ideally)
- Highly ambitious to build a career with Compliance & Regulation.
This is primarily an in-office role at the Firm's NYC Headquarters.
