Job Summary
The Compliance Analyst plays a crucial role in overseeing trading operations and performing investigations to guarantee compliance with securities regulations, anti-money laundering (AML) requirements, and organizational policies. This position is vital for maintaining regulatory adherence and enhancing risk management practices within the firm.
Responsibilities
- Monitor trading activities and conduct thorough investigations to ensure conformity with securities laws.
- Assess adherence to AML standards and internal compliance policies.
- Document investigative findings and potential compliance breaches effectively.
- Escalate issues related to regulatory violations as necessary.
- Propose improvements to surveillance controls and processes for enhanced compliance measures.
Qualifications
- Bachelor’s degree in finance, business, or economics is required.
- 3 to 6 years of applicable experience in compliance or broker-dealer operations.
- In-depth knowledge of equity market structure and familiarity with SEC and FINRA regulations.
- Experience with surveillance platforms and compliance monitoring tools is essential.
