Our client is a top investment management firm with over $15 billion in assets and over 1,500 employes across their global offices. Their team is made up of high performing individuals with diversified backgrounds and responsibilites.
We have partnered with this prestigious firm to find a Compliance Analyst with 1-3 years of experience working for broker dealer or similar financial services firm in their compliance department. You will be tasked with on boarding new hires and Code of Ethics procedures.
Qualifications:
- 1-3 years of compliance experience
- Understanding and experience with handling personal trading and Code of Ethics
- Detail oriented
- Ability to adapt to a fast paced environment and self-motivated
- Solid collaboration skills
- Bachelor's degree
- Star Compliance a plus
Responsibilities:
- Review and file new hire documents and maintain new hire lists
- Ensure Compliance onboarding requirements are completed prior to new hire's first day
- Detect violations of all company policies and procedure by maintaining internal controls
- Manage broker statement collections processes and statements feeds
- Handle ad hoc projects and give administrative support for the Compliance team
This is a hybrid role in our client's New York office located in Manhattan. Salary is dependent upon experience, and their range currently stands at $65k-$90k with a bonus package and competitive benefits.
