Compliance Specialist

New Role: Business Controls Group AnalystLocation: New York, NY 10017Duration: 3 MonthsJob Description:Business Controls Group ("BCG") - Temporary AnalystThis position is for a BCG Analyst for Client. BCG is responsible for the delegate supervisory oversight of Client Sales & Trading and Equity Research operation, by designing, implementing, and reviewing a suite of surveillances to identify violations of regulatory rules or internal policies and procedures. BCG resides within the Business Unit and partners with Supervisors to act as the first line of defense.When potentially anomalous behavior is detected, the BCG Analyst is responsible for escalating the activity and working collaboratively with partners across Client to determine the appropriate resolution for the matter. The BCG Analyst would utilize a variety of surveillance tools to analyze trading activity, e-communications, employee trading and operational risk.Responsibilities:Analyze trading activityPerform, develop, and maintain surveillance reviewsIdentify potential risks for the Firm and escalate the matter to a designated managerGenerate ad-hoc reports, perform data analysis, and provide direction to Business Unit personnel, where appropriateSupport aspects of planning and executing projects to assist the Firm in complying with regulatory requirementsAdditional responsibilities, as assignedAppropriately assess and escalate risk when business decisions are made, demonstrating particular consideration to safeguarding Client, reputation, and regulatory footprintParticipate in ad-hoc requests, special projects and regulatory exams directed by management, compliance or legal departmentsRequirements:QualificationsKnowledge of broker-dealer related SEC and FINRA rulesA strong understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projectsTrading floor experience (trade support, controlscompliance)Series 7, 55, 63, 24, 4 preferredAbility to review and analyze supervisory trade surveillance reportsUnderstanding of trading systems, FINRA CAT, FINRA GatewayExcellent research and analytical skillsExcellent written and verbal communication skillsSelf-starter, flexible, innovative and adaptiveDemonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organizationAbility to navigate a complex organization by working collaboratively with regional and global partners in other functional unitsWillingness to work in a fast paced environment with a positive attitudeProficiency in MS Office applications (Excel, Word, PowerPoint)EducationBachelor's degree; experience in a financial services firm, regulatory organization, or a combination thereof

Created: 2024-11-06