Title Compliance Analyst/Associate
Categories Legal/Compliance
Salary Commensurate with experience
Job Location New York City
Job Description

The firm is seeking a Compliance Analyst/Associate with proven experience 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.

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