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Compliance Analyst

3 months ago

New York, United States Insight Global Full time

Required Skills & Experience

· Bachelors Degree

· 1-2 years of industry experience

· Broad knowledge of financial products, markets, and laws and regulations such as FINRA and SEC rules, and the Investment Company Act of 1940

· Strong interview, presentation, written and verbal communications, time management and analytical skills

· Self-starter, enthusiastic, motivated, and solution oriented

Question: Can you tell me about a time where you went above and beyond your scope of work to solve an issue?

Nice to Have Skills & Experience

Plusses:

· Prior experience in compliance, product controllers, legal, regulatory, audit or risk management functions -- asset or wealth management and/or global banking and markets businesses

· Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator

· Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications)

Fluency in French, Spanish, German, Japanese, Korean, or Mandarin Chinese

Job Description

Insight Global is looking for a Compliance Testing Analyst to join one of our largest financial services clients here in NYC. We are looking for someone who has a go-getter mentality, is solution oriented, and emulates a positive and energetic personality to enhance the teams culture.

The ideal candidate will have some sort of audit or compliance testing background and/or regulatory background. The main objective for this group is to create and execute detailed testing to assess compliance with regulations and firm policies, while working closely with compliance and business management to sharpen the firms processes. While working closely with these teams, this individual will gain an understanding of the firms businesses and rules, as well as the regulations in how the firm operates. Daily, this person will propose methods of testing and execute plans discussed and agreed with a team leader, gather data, perform analyses, and document results. They will also be identifying potential compliance, conduct and reputational risks, and effectively escalate to appropriate individuals.

This is a fantastic opportunity for a candidate who is passionate about investigative work and possesses a deep knowledge of wealth, asset or portfolio management, and/or risk management functions across a variety of asset classes. The ideal candidate for this position will have experience working in compliance, financial advising, sales, product controls, market risk, legal or audit and will leverage that backgrounds knowledge to investigate whether activities and practices comply with policies, regulations and the firms compliance control infrastructure. We are looking for someone who is comfortable handling multiple projects at once and is confident in their work/has the ability to interact daily with senior members of the business and engineers.