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