Senior Compliance Analyst

  • $120,000 USD + Bonus
  • New York, NY, USA New York NY US
  • Permanent, Full time
  • Hamlyn Williams
  • 17 Apr 18 2018-04-17

My client, a top tier investment bank, is looking for an experienced candidate to join their compliance team as a senior analyst. The exciting role is looking for a driven professional to provide advisory support in the investment banking side of the company. The position offers career growth and the ability to work with an industry leading company. The ideal candidate should have 4+ years of compliance experience, and excellent work ethic and dedication.

Responsibilities:

  • Advise the business on company policies and procedures
  • Work with senior management to implement policies and procedures 
  • Identify trends and developments and how they impact the company.
  • Provide regulatory/compliance training.
  • Assist the business to implement and document supervisory/control mechanisms.
  • Review new products and Implement the risk management compliance framework to new investments or acquisitions. 
  • Perform testing and monitoring of compliance and conduct risk assessments 

Desired Skills and Experience:

  • Bachelor's Degree or equivalent; JD or MBA a plus
  • Series 24, 79, 7 preferred but not a requirement
  • 4+ years of industry experience
  • Prior experience providing financial regulation and legal advice in connection with investment banking.
  • Strong familiarity of securities laws and regulations.