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Compliance Analyst

2 months ago

New York, United States Procom Full time

BMO is currently sourcing for a Compliance Analyst position on a 6-month contract.

Summary of Role: The Compliance Analyst will assist in implementing and maintaining the Global Markets Compliance Program, focusing on equities trading.

Project: Implementation and maintenance of the Global Markets Compliance Program

Years of experience: 1-3 years

RESPONSIBILITIES INCLUDE (but are not limited to):

- Initiating and monitoring testing for equities trading
- Monitoring controls for trade reporting and execution
- Assisting in policy creation and streamlining procedures
- Conducting risk assessments and compliance reviews
- Elevating high-profile cases for resolution

Required Skills:
- College Degree
- 1-3 years of Compliance experience
- Strong attention to detail and communication skills

Desired Skills:
- Previous compliance experience at a major Financial Institution
- Knowledge of U.S. securities rules and regulations