Junior Analyst – Compliance and Operations

Capco•Orlando, FL

About The Position

The Junior Analyst will engage in key activities such as compliance and operations monitoring, governance, oversight, and regulatory reporting, working closely with the compliance and internal control teams. This role is vital for ensuring that the firm and its employees adhere to all applicable federal and state laws, as well as the rules and regulations set by bodies like the Securities and Exchange Commission, The Federal Reserve Bank, the Commodity Futures Trading Commission, and the Financial Industry Regulatory Authority (FINRA). Additionally, the Analyst will ensure compliance with other governmental agencies, self-regulatory organizations, internal policies, and industry best practices.

Requirements

0-1 year of professional experience
Associate or bachelor’s degree preferred
Excellent written, communication, and presentation skills
Ability to interact and work closely with business stakeholders at all levels of seniority
Possess strong analytical thinking and critical reasoning skills
Ability to work effectively in a team environment
Ability to effectively handle a fast-paced environment and successfully meet established deadline requirements

Nice To Haves

ACAMS and/or SIE certification a plus

Responsibilities

Review of trade surveillance alerts and escalate issues, where appropriate, to relevant stakeholders for investigation and resolution
Review, process and investigate personal account dealing and outside business affiliations/activities
Maintain periodic (daily/weekly/monthly/quarterly) watch/restricted list reports
Perform regulatory required periodic compliance testing
Process FINRA related registration and exam requirements
Maintain daily management and status reports
Perform ongoing review of policies and procedures for period updates
Develop procedures for new activities or functions