Junior Compliance Analyst
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About The Position
The Junior Associate - Compliance Analyst will participate in compliance and operations monitoring, governance, oversight, and regulatory reporting activities in coordination with compliance and internal control teams. The role of the Compliance Analyst is to ensure that the firm and its employees conduct business in accordance with federal and state laws and rules and regulations, including the rules and regulations of the Securities and Exchange Commission, The Federal Reserve Bank, the Commodity Futures Trading Commission, Financial Industry Regulatory Authority (FINRA), and other governmental agencies, self-regulatory organizations and internal policies and industry best practices.
