Compliance Control Room Analyst: Trade & Risk Monitoring

OSTTRA Group; Philadelphia (Philadelphia County); On-site; USD 70,000 - 95,000; Full time

Benefits offered by this job

Paid Parental Leave

Paid Time Off

Referral bonus

Professional Development Assistance

Job summary

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. The Control Room Analyst role supports the Legal and Compliance Department by detecting and escalating policy violations, risk anomalies, and suspicious activity.

The Analyst analyzes data, controls processes, and keeps regulatory records in a small team under the direction of the Associate General Counsel Compliance.

Qualifications

• Bachelor's degree in business, finance, or related field preferred.
• 1-3 years’ experience within financial services industry preferred.
• FINRA Series 7 Securities License preferred; or the ability to obtain with the first 12 months of employment.
• Prior experience with Proserv, eQube, and Ziplip a plus.
• Ability to interact effectively across various levels of employees, including Executive staff members.
• Proficiency in MS Excel.
• Excellent organizational, analytical and problem-solving skills.
• Outstanding written and verbal communication skills.
• Self-starter with the ability to multi-task and prioritize workload and projects.

Responsibilities

• Daily pre-approval of employee securities trading
• Daily screening for trading in Restricted List and Watch List securities
• Ongoing review and recording keeping of outside investment accounts; outside business activities; political contributions; and gifts/entertainment
• Daily review for, and resolution of, trading violations
• Monitoring commission mark-ups
• Compliance testing of operational policies and procedures
• Additional duties as assigned related to monitoring and testing for risks related to conflicts or the appearance of potential conflicts involving the Firm and its employees

Skills

Detail Oriented & Driven

Problem Solving & Critical Thinking

Analytical ability

Cross-Functional Collaboration

Education

Bachelor's degree in business, finance, or related field

Tools

Proserv

eQube

Ziplip

MS Excel

Job description

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. The Control Room Analyst role supports the Legal and Compliance Department by detecting and escalating policy violations, risk anomalies, and suspicious activity.

The Analyst analyzes data, controls processes, and keeps regulatory records in a small team under the direction of the Associate General Counsel Compliance.