A prominent firm in the investment banking and capital markets sector is looking for a Compliance Associate to join the team. This firm is widely regarded as a leader in the space and is consistently at the top of league tables within the Finance industry. You will be part of a tight-knit team that helps the business shape its strategy behind much of its operations and therefore will impact the company's bottom line in a significant way. Working closely with Compliance Partners, this is a high-visibility position that will have exposure to a variety of business lines.
Responsibilities:
- Devise, implement, execute monitoring/ testing programs
- Complete risk assessments & conduct targeted business reviews
- Perform branch office inspections for policy adherence
- Assist with ad hoc projects including investigations within the surveillance platform
Qualifications:
- 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)
