Greater NYC Area
2 weeks ago
As our Compliance Analyst, you will work directly with our Chief Compliance Officer as part of a highly motivated, exceptionally talented, and deeply focused team. Together you will define and operationalize a robust compliance program by researching and reviewing applicable FINRA and Exchange rules and SEC regulations. Additionally, you’ll help develop, implement, and review surveillance reports, resolving regulatory reporting issues.You will analyze our order and trade data to assist with regulatory audit preparation. You will collaborate with colleagues across the organization, ensuring our Compliance Team’s effectiveness. You’ll need to hold or pass the Securities Industry Exams (SIE, Series 7/top off, Series 24).