Experienced/Lateral - Compliance Analyst

Five Rings LLC - Careers • New York, NY

3d • $75,000 - $100,000 • Onsite

About The Position

A dynamic NYC-based trading firm is looking for a Compliance Analyst to join its growing compliance team. The team is charged with establishing, implementing and maintaining adequate policies and procedures to ensure compliance of the firm with its legal and regulatory obligations. In this position, tasks will primarily include surveillance and monitoring of trading activity, training and inducting staff, documenting new policies, managing regulatory reporting and communication, administering existing policies, and monitoring regulatory developments and best practices.

Requirements

• Bachelor's degree or equivalent
• Minimum of 2 years of relevant experience in a regulated environment preferred
• Ability to work independently
• Organization
• Superior attention to detail
• Ability to multitask
• Strong knowledge of key compliance areas
• Strong ability to work with spreadsheets

Responsibilities

• Surveillance and monitoring of trading activity
• Training and inducting staff
• Documenting new policies
• Managing regulatory reporting and communication
• Administering existing policies
• Monitoring regulatory developments and best practices

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level