Compliance Analyst

Compensation: $90,000 - $120,000 + bonus

Location: New York, NY

Job Overview:

As the Ethics and Compliance Specialist, you will play a critical role in implementing and overseeing the firm's compliance program. This is an excellent opportunity for an individual with a strong attention to detail and a passion for ensuring regulatory adherence.

Responsibilities:

The Ethics and Compliance Specialist will be responsible for the following:

• Assisting in the implementation and maintenance of the firm's compliance program
• Conducting regular reviews and evaluations to ensure compliance with regulatory requirements and internal policies
• Supporting the management of employee trade preclearance, outside business activities, and personal investments
• Providing guidance to employees on compliance-related matters and promote awareness of policies and procedures
• Identifying and escalate potential compliance violations and work towards timely remediation
• Assisting in conducting compliance testing and forensic analysis of internal controls
• Collaborating with cross-functional teams to develop and deliver compliance training programs
• Preparing reports and documentation for internal and external stakeholders
• Staying informed about regulatory developments and industry best practices to ensure ongoing compliance
• Supporting the compliance team in regulatory examinations, audits, and inquiries

Qualifications:

To be considered for the Ethics and Compliance Specialist role, you should have the following:

• Bachelor's degree in a relevant field
• 1-3 years of experience in a compliance role within the financial industry
• Strong understanding of regulatory requirements and industry standards
• Effective communication skills, both written and verbal
• Ability to work independently and collaboratively in a team environment
• Proficiency in Microsoft Office Suite