Compliance Analyst, Brokerage Compliance

Where

New York, NY

What you'll be doing

Monitor internal and external incoming or 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. 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 years institution. A relevant post-graduate degree.

Who is the client company

This is an innovative financial services company offering a full suite of easy-to-use online brokerage, investing and related banking solutions, delivered at a competitive price.

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