Job: Compliance Analyst/Associate
Position Type: Full Time
Job Location: New York
ASW is seeking a Compliance Analyst/Associate with proven experience to help the firm implement and conduct surveillance reviews that cover specific regulations and firm policies. This process includes reviewing exception reports, compiling all relevant data, analyzing the results, escalating potential issues to the appropriate individuals and providing input on potential corrective action plans designed to address issues that are identified.
• Review daily trade exception reports and trading activity to ensure compliance with appropriate rules, regulations and firm policies
• Conduct surveillance by analyzing surveillance reports over various areas of the firms’ business units
• Assist in the development of policies and procedures that reflect changes in firm business and industry regulation
• Performing oversight and monitoring of documented policies and procedures throughout the firm by performing test work, documenting results and identifying and escalating potential issues
• Responding to and addressing inquiries from regulatory agencies
• Researching and monitoring new and existing legislation to assure firm is in compliance with the applicable laws, regulations and firm policy and procedures
• Must have four year Bachelor’s degree from accredited university
• Great communication and presentation skills
• Accuracy, attention to detail is a must with the ability to thrive in a fast-paced, deadline-driven environment.
• A team player with a “can do” attitude
• Ability to write concise, accurate, business documents
• Highly disciplined individual, self-motivated, delivery focused with the ability to work independently and multi-task
• Strong Microsoft Office skills with proficiency in Excel, Word and PowerPoint.
• Excellent organizational skills.
Preferred Skills and Experiences
• Two years experience in the financial services industry with sound knowledge of financial products