Compliance Analyst
Compliance Analyst
Overview
A leading investment firm is seeking a Compliance Analyst to support its trading compliance function. This role will focus on oversight of trading activities, including systematic and technology-driven strategies, while working closely with investment and operational teams.
Responsibilities
- Support day-to-day compliance coverage of trading activities, including those involving quantitative and automated strategies
- Assist with monitoring and review of investment activities to ensure alignment with internal policies and regulatory expectations
- Track relevant regulatory developments and assist with implementing updates to the compliance framework
- Provide support during regulatory inquiries and internal reviews
- Assist in maintaining and updating compliance policies and procedures
- Contribute to compliance training and related materials
Qualifications
- 1-4 years of compliance experience within financial services
- Experience at a financial institution or regulatory body preferred
- General familiarity with trading environments, including systematic or algorithmic activity, is a plus
- Understanding of financial markets and regulatory expectations
- Strong organizational and analytical skills
- Ability to manage multiple priorities and meet deadlines
- Effective written and verbal communication skills
- Proficiency in Microsoft Excel and PowerPoint
- Team-oriented with a proactive approach
FAQs
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