Compliance Analyst, Finance & Banking

Executive Recruiter - Northbound Executive Search

Our client, a well-known Financial Services firm in New York, is looking for a Compliance Analyst to join its team. This is a great opportunity for someone with 2+ years of Compliance or E
- Surveillance at a Broker Dealer.

$30.00/hr - $35.00/hr

• Monitoring electronic surveillance systems to detect any activities that may violate company policies, regulatory requirements, or industry standards. Identify potential risks and ensure that our operations are conducted ethically and legally.
• Investigating and escalating any non-compliance issues, suspicious activities, or potential risks.
• Document and report any compliance violations or suspicious activities to the appropriate teams. Work closely with key stakeholders to ensure timely resolution of issues.
• Issue violation notices to non-compliant employees.
• Assist in preparing for internal and external audits by providing relevant surveillance data and compliance reports.
• Conduct e-discovery, including the identification, collection, review, and production of electronically stored information.

• 2+ years of experience in compliance or e-surveillance at a regulated Broker-Dealer
• Familiarity with electronic surveillance systems and compliance software tools.

Associate

Full-time

Analyst