Diversified Financial Services Firm is seeking Compliance Analyst. The Control Room is primarily responsible for preserving the integrity of the firm’s information barriers by monitoring and controlling the flow of material nonpublic and confidential information between departments, allowing Associates to conduct their business activities in ordinary course.
The Control Room Compliance Analyst will be primarily responsible assisting with the day to day operations of the Control Room including interacting with and supporting the Research and Investment Banking Departments and information barrier compliance program, developing and maintaining a working understanding of all applicable laws and regulations, identifying and addressing conflicts of interest, creating, updating, and enforcing written policies and procedures and generally maintaining high ethical standards.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
1. Support Research and Investment Banking business partners’ compliance with applicable policies and procedures and underlying rules and regulations related to research activities, investment banking activities, conflicts of interest, and inside information.
2. Research, analyze, and apply existing and proposed rules and regulations to business practices.
3. Create, update, and enforce policies and procedures and associated training materials.
4. Collaborate with internal and external clients to prioritize and address relevant needs.
5. Review, analyze, and interpret daily, monthly, and other periodic Control Room reports and initiate action to address issues as necessary.
6. Develop and draft responses to regulatory inquiries.
7. Conduct new hire compliance interviews, orientations, and training.
8. Execute on these and other assigned duties and responsibilities.
1. Bachelor’s degree, advanced degree a plus. Prior Control Room experience, experience with a broker-dealer or investment bank, or relevant experience working for a financial industry regulator strongly preferred.
2. Strong analytical skills and the ability and willingness to master knowledge of the rules and regulations promulgated by the SEC (e.g., the Securities Act of 1933, Securities and Exchange Act of 1934, Insider Trading and Securities Fraud Enforcement Act of 1988), FINRA and other regulatory bodies.
3. Self-confidence with the ability to effectively communicate verbally and in writing with associates at all levels of the organization.
4. Detail-oriented with a track-record of consistently producing high quality product in all endeavors.
5. Proactive, determined, with a strong work ethic.
6. Must hold, or obtain within 12 months of hire, the Series 7 and 24 licenses.
7. Must be willing to travel (up to 10%).
Please email resumes to Jack@ComplianceSearch.com.