Compliance Analyst

Social Capital Resources; United States; On-site; USD 75,000 - 100,000; Full time

Benefits offered by this job

Medical insurance

Vision insurance

401(k)

Paid maternity leave

Disability insurance

Paid paternity leave

Job summary

A financial services firm is seeking a Compliance Analyst to improve its Compliance Program, react to regulatory changes, and assist with compliance examinations. Candidates should have strong analytical skills, fluency in risk management, and excellent communication abilities. This is a full-time position based in New York with a competitive salary range of $75,000 - $100,000 per year.

Qualifications

• Professional demeanor and strong analytical skills are essential.
• Must be fluent in risk management principles related to compliance.
• Experience with regulatory requirements and compliance examinations is preferred.

Responsibilities

• Improve the Compliance Program utilizing applicable regulations.
• Identify changes in regulatory requirements and react accordingly.
• Assist with regulatory and annual compliance examinations.
• Monitor employee communications per the e-surveillance program.
• Coordinate with federal and state regulators.

Skills

Excellent written and verbal communication skills

Fluency in risk management

Analytical skills

Job description

Social Capital Resources provided pay range

This range is provided by Social Capital Resources. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$75,000.00/yr - $100,000.00/yr

Prop Trading Firm in New York is looking for a Compliance Analyst!

Responsibilities

• The ideal candidate will be professional, analytical, and possess excellent written and verbal communication skills. To prosper in this role, you should be fluent in risk management and industry’s principles.
• Continually improve Compliance Program for relevant entity by utilizing applicable regulations, risk management techniques, and business area knowledge to maintain and test relevant policies and procedures that comprise the compliance program.
• Identify and react to changes in regulatory requirements impacting the broker/dealer.
• Develop and maintain a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting. Finds, interprets and implements directives and/or regulation that impact(s) the current compliance environment.
• Assist with our regulatory and annual compliance examinations.
• Monitor employee communications in accordance with the firm’s e-surveillance program.
• Coordinating with federal and state regulators.
• Planning, implementing and overseeing risk-related programs and assisting with compliance questions and other needs.

Seniority level

• Associate

Employment type

• Full-time

Job function

• Finance
• Industries: Investment Management

Benefits

• Medical insurance
• Vision insurance
• 401(k)
• Paid maternity leave
• Disability insurance
• Paid paternity leave