Broker-Dealer Compliance Analyst

JCW Group; New York (NY); On-site; USD 65,000 - 90,000; Full time

Job summary

A leading broker-dealer firm is seeking a Compliance Analyst to join their small team. The ideal candidate will have 1-3 years of experience in broker-dealer compliance, assisting in surveillance of trading activity, updating policies, and handling regulatory reporting. This position offers an opportunity to stay engaged with regulatory developments while contributing to a dynamic compliance function.

Qualifications

• 1-3 years of experience in a broker-dealer compliance role.
• Experience with surveillance of trading activity.
• Experience updating firm policies and WSPs.
• Familiarity with regulatory reporting and exams.
• Ability to stay up to date on regulatory developments.

Responsibilities

• Assist with surveillance of firm trading activity.
• Update firm policies and WSPs.
• Assist with regulatory reporting and exams.
• Stay up to date on regulatory developments.

Skills

Broker-dealer compliance experience

Regulatory reporting

Attention to detail

Job description

A leading broker-dealer firm is looking to hire a Compliance Analyst. An ideal candidate will have 1-3 years of experience in a broker-dealer compliance role. This position sits on a small team so will be a compliance generalist.

Day to day you will:

• Assist with surveillance of firm trading activity.
• Update firm policies and WSPs.
• Assist with regulatory reporting and exams
• Stay up to date on regulatory developments.

You should apply if you:

• Have 1-3 years of broker-dealer compliance experience.