Based in New York City, the Compliance Analyst will assist in the Chief Compliance Officer in overseeing the Regulatory, Code of Ethics, Marketing Review functions for our client.
Specific Responsibilities
- A Compliance Generalist role in the Enterprise Compliance Team
- Assisting in the management of our client’s Code of Ethics policies
- Providing guidance and monitoring conflicts related to personal account trading, outside business activities, political activity, and gifts and entertainment
- Assisting in the day-to-day management of responsibilities associated with broker-dealer
- Assisting in the review of marketing materials
- Miscellaneous tasks/responsibilities, as needed.
Key Qualifications
- 3+ years of compliance and/or paralegal experience, financial services industry a plus
- General knowledge of SEC regulatory framework and understanding of Material Non-Public Information (“MNPI”)
- Proven ability to manage tasks with competing priorities and deadlines
- Proficient in Microsoft Office applications including, Word, Excel, and Outlook.
- Series 7 and Series 24 a plus
- Bachelor’s Degree required.
