Compliance Analyst, Brokerage Compliance

Where

Jersey City, NJ

What you'll be doing

Monitor internal and external incoming/outgoing electronic communications (including emails and IMS). Investigate electronic communications identified as potentially problematic, and document outcomes. As necessary, identify electronic communications that require further investigation, including escalation to appropriate line of business supervisors or others, accompanied by appropriate documentation. Assist in the maintenance and enhancement of internal policies, procedures and processes pertaining to the monitoring of electronic communications. Stay abreast of relevant regulatory developments and industry best practices. Compile required performance and risk metrics for management reporting.

What your background should be

Excellent analytical skills, sound judgment and strong attention to detail. Ability to work autonomously in a fast-paced environment while executing against specific tasks and required functions. Excellent oral and written communication skills. A relevant post-graduate degree and/or series 7 license. Prior experience working with a broker-dealer in a compliance capacity. Aptitude with identifying potential regulatory compliance issues or deviations from internal policies and procedures.

Required Schooling / Training

An undergraduate degree from a 4-year institution.

Who is the client company

This is an online discount stock brokerage for self-directed investors.

If you are interested in this position, send your resume to apply@kochdavis.com