Internal Compliance Officer - Investment Bank

A prominent firm in the investment banking and capital markets sector is looking for an Internal Compliance Officer to join the team. This firm is widely regarded as a leader in the space and is consistently at the top of league tables within the Finance industry. You will be part of a tight-knit team that helps the business shape its strategy behind much of its operations and therefore will impact the companys bottom line in a significant way.**Manage Compliance * Handle personal account disclosures, pre-clearance forms, and annual employee certifications.Data * Reconcile personal trading data, manage brokerage account statements, and perform data analysis.Employee * Address employee inquiries and deliver compliance training to new hires.Workflow * Streamline workflows, document processes, and conduct ad hoc reporting.**Bachelors degree relating to Financial Industry (finance, economics, business, etc)3+ years experience in financial services related to Code of Ethics, Compliance Monitoring, conflicts of interest, employee training, or personal trade surveillanceExperience with compliance data systems; Microsoft Suite Applications and Compliance Trading System software skillsExcellent communication skills, motivation to learn and advance skillset

Created: 2025-02-27