A boutique investment bank in Manhattan is looking to hire a Compliance Analyst to support the day to day operations of the compliance program. Reporting directly to the Executive Director of Compliance, the Compliance Analyst will be responsible for contributing to the development of the compliance program including the implementation of policies and procedures, regulatory filings, and communications review.
- Perform daily monitoring of communications, specifically email surveillance
- Lead all ongoing compliance review processes and requirements in relation to registration filings including U4, U5, etc.
- Assist with additional SEC and CFTC regulatory filings
- Ensure the firm is in compliance with all external regulations and internal policies
- Bachelor's Degree
- 2-4 years of compliance experience in the investment banking or investment management areas of finance
- Strong email surveillance experience