Job: Compliance Analyst

Maxim Group Overview: Founded in 2002, Maxim Group is a leading full-service investment banking, securities and wealth management firm headquartered in New York. We provide a full array of financial services including investment banking; private wealth management; and global institutional equity, fixed income and derivative sales & trading, equity research and prime brokerage services to a diverse range of corporate clients, institutional investors and high net worth individuals.

Title Compliance Analyst
Categories Legal/Compliance
Position Type Full Time
Job Location New York, New York
Job Description

Job Function
Finance

We are a full-service investment banking, securities and wealth management firm headquartered in New York. We provide a full array of financial services including investment banking; private wealth management; and global institutional equity, fixed income and derivative sales & trading, equity research and prime brokerage services to a diverse range of corporate clients, institutional investors and high net worth individuals.
The firm is currently seeking a full-time Compliance Analyst to help the firm implement and conduct surveillance reviews that cover specific regulations and firm policies. This process includes reviewing exception reports, compiling all relevant data, analyzing the results, escalating potential issues to the appropriate individuals and providing input on potential corrective action plans designed to address issues that are identified.
• Review daily trade exception reports and trading activity to ensure compliance with appropriate rules, regulations and firm policies
• Conduct surveillance by analyzing surveillance reports over various areas of the firms’ business units
• Assist in the development of policies and procedures that reflect changes in firm business and industry regulation
• Performing oversight and monitoring of documented policies and procedures throughout the firm by performing test work, documenting results and identifying and escalating potential issues
• Responding to and addressing inquiries from regulatory agencies
• Researching and monitoring new and existing legislation to assure firm is in compliance with the applicable laws, regulations and firm policy and procedures

Primary Responsibilities

The firm is currently seeking a full-time Compliance Analyst to help the firm implement and conduct surveillance reviews that cover specific regulations and firm policies. This process includes reviewing exception reports, compiling all relevant data, analyzing the results, escalating potential issues to the appropriate individuals and providing input on potential corrective action plans designed to address issues that are identified.
• Review daily trade exception reports and trading activity to ensure compliance with appropriate rules, regulations and firm policies
• Conduct surveillance by analyzing surveillance reports over various areas of the firms’ business units
• Assist in the development of policies and procedures that reflect changes in firm business and industry regulation
• Performing oversight and monitoring of documented policies and procedures throughout the firm by performing test work, documenting results and identifying and escalating potential issues
• Responding to and addressing inquiries from regulatory agencies
• Researching and monitoring new and existing legislation to assure firm is in compliance with the applicable laws, regulations and firm policy and procedures

Qualifications

• Must have four year Bachelor’s degree from accredited university
• Strong communication skills with a professional phone demeanor
• Accuracy, attention to detail is a must with the ability to thrive in a fast-paced, deadline-driven environment
• A team player with a “can do” attitude
• Ability to write concise, accurate, business documents
• Highly disciplined individual, self-motivated, delivery focused with the ability to work independently
• Strong Microsoft Office skills with proficiency in Excel, Word and PowerPoint
• Excellent organizational skills

Preferred Skills and Experiences

• Successful completion of FINRA SIE Exam or Series 7 licensed (must obtain such within six months of hiring)

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EEOC Statement: Individuals seeking employment at Maxim Group are considered without regards to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, or sexual orientation.