Broker-Dealer Compliance Analyst: Surveillance & Policy

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.

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 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.