Compliance Analyst

LevelUP HCS; New York (NY); On-site; USD 65,000 - 85,000; Full time

Job summary

A leading investment bank is seeking an Analyst to join its Legal and Compliance department. The role involves assisting the Core Compliance Regulatory team by managing employee personal account disclosures and handling inquiries within the automated compliance system. Ideal candidates should have a B.A. and strong proficiency in Microsoft Office, alongside excellent organizational and communication skills. This position offers a solid entry-level career path within the compliance sector.

Qualifications

• Valid United States work authorization required.
• Detail-oriented with the ability to manage multiple tasks.

Responsibilities

• Assist with managing employee personal account disclosures.
• Handle employee outreach and incoming questions.
• Learn Regulatory team functions, including onboarding and exam scheduling.

Skills

Proficiency in Microsoft Office Suite

Strong organizational skills

Effective communication

Detail-oriented

Ability to prioritize tasks

Education

B.A.

Job description

US investment bank seeks to hire an Analyst to join the Legal and Compliance department for the Core Compliance Regulatory group.

Primary Responsibilities

The individual will assist the Core Compliance Regulatory team with managing employee personal account disclosures and certifications within the Firm’s automated compliance system. In addition to tracking disclosures and verification requirements, this role requires handling employee outreach and incoming questions. The individual will also learn other Regulatory team functions including onboarding, registrations, exam scheduling and maintaining and monitoring regulatory requirements for registered representatives.

Specific Qualifications

• B.A. required
• Proficiency in Microsoft Office Suite (Word, Excel and PowerPoint)
• Strong organizational skills and ability to follow up on outstanding items
• Professional, driven, proactive, personable and able to communicate effectively with employees of all levels
• Great entry-level position to a team that covers a broad range of compliance activities
• Detail-oriented with an ability to manage multiple tasks and prioritize workflow
• Ability to work independently as well as with the Compliance team
• Ability to exercise judgment and discretion, and to maintain confidentiality required
• This position requires valid United States work authorization and is not eligible for visa sponsorship