Junior Analyst Compliance and Operations
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
Benefits
- We offer highly competitive benefits, including medical, dental and vision insurance, a 401(k) plan, tuition reimbursement, and a work culture focused on innovation and creation of lasting value for our clients and employees.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
Associate degree
