Compliance Officer, Analyst
BTIG•New York, NY
•$60,000 - $75,000
About The Position
BTIG seeks a motivated and detail-oriented Compliance Analyst to join our Compliance team. This entry-level role is critical in supporting the firm’s Compliance program, ensuring that BTIG is adherence with the rules and regulations of the SEC, FINRA as well as Firm policies. The ideal candidate is organized, adaptable, eager to learn, and should be a team player.
Requirements
- Bachelor’s degree is preferred.
- 0–2 years of related experience.
- Excellent written, verbal, visual, and interpersonal communication skills
- Strong attention to detail and organizational abilities
- Collaborative, professional, and positive attitude
- Ability to adapt and prioritize in a fast-paced environment
- Curious and open to learning about emerging trends, new rules and regulations and technologies. We are happy to train you!
- Discretion and professionalism when working with confidential information
- Commitment to maintaining BTIG's high ethical standards and brand reputation
- Familiarity with Microsoft Office (Word, PowerPoint, Outlook); advanced proficiency in PowerPoint, Excel charts, are highly preferred
Responsibilities
- Provide administrative support to the Compliance team as needed.
- Review of Employee Personal Trade Preclearance Requests
- Process background check on request for Account coverage
- Review/Audit of Employee’s Electronic Communications
- FINCEN review
- Responsible for tracking and reviewing Of Non-direct feed Employee Account Statements
- Prime and DMA Documentation audit
- Adhoc internal audits as needed
Benefits
- competitive compensation and benefits package
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
Upload and Match Resume
What This Job Offers
Job Type
Full-time
Career Level
Entry Level
