A prominent firm in the investment banking and capital markets sector is looking for a Compliance Associate to join the team. This position will perform monitoring and testing responsibilities across the firm, gaining exposure to a variety of business lines.
As part of this critical function, you will:
- Devise, implement, execute monitoring/ testing programs
- Complete risk assessments & conduct targeted business reviews
- Perform branch office inspections for policy adherence
The ideal candidate possesses:
- Bachelor's degree from accredited university
- 2+ years' relevant professional exposure working closely with regulators or financial institutions like broker-dealers
- Strong familiarity with laws/regulations affecting broker-dealers particularly within investment banking sectors
- Hands-on experience conducting risk evaluations using surveillance systems.
- Data analysis skills capable of transforming datasets into actionable metrics (data analytics knowledge is beneficial, particularly using Excel)
