Job Description

Responsibilities

The Senior Compliance Analyst’s primary focus will be to:

  • Support compliance coverage of the firm’s technology and data enterprise, and coverage for broker-dealer clients
  • Design periodic and adhoc supervisory reports and complete associated reviews
  • Engage with stakeholders across technology and operations teams and support them in an advisory capacity
  • Implement internal control enhancements and appropriately solution potential compliance matters
  • Assist draft business specifications to create and improve surveillance and compliance tools
  • Assist coordinate responses to regulatory inquiries from foreign and US regulators
  • Draft and implement firm policies, controls and written supervisory procedures

    • Qualifications

  • 5+ years’ experience with a broker-dealer, investment manager or regulator
  • Solid academic background with a Bachelors or Masters in Finance, Computer Science, Data Sc...

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