Compliance Assistant

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Thesys CAT
  • 05 Oct 18

Thesys CAT, a subsidiary of Thesys Technologies, has been chosen by the U.S. Securities and Exchange Commission to build and operate one of the largest trading databases ever created; Consolidated Audit Trail (CAT). The CAT is a comprehensive audit trail that will track orders throughout their lifecycle and identify the broker-dealers handling them, thus allowing regulators to more efficiently and accurately track activity in Eligible Securities throughout the U.S. markets. Thesys CAT is looking for a Compliance Assistant to join its Compliance Team. This is an excellent opportunity to join a growing organization and team.

The Compliance Assistant will  support members of the Compliance Team both in New York and Charleston.

Specific responsibilities will include:

  • Managing the onboarding/offboarding process
  • Reviewing Trading Statements
  • Preparing reports and collecting data
  • Updating spreadsheets
  • Following up with employees and internal/external stakeholders
  • Coordination of compliance related activities (training, policies, etc,)
  • Assist with creating training materials
  • Filing and retaining documentation records retention requirements

Candidate Qualifications:

Our ideal candidate will have a Bachelor’s degree and 3-5 years experience in an Administrative capacity preferably with some exposure to compliance processes and procedures.  

Additionally, this person will have excellent organizational, writing and interpersonal skills, and is comfortable working in a fast paced and deadline driven environment. This candidate will also have a comfortable working knowledge of both Microsoft (including Excel and Powerpoint) and G-Suite products, and a genuine interest in learning more about the Compliance function.