Compliance Operations Analyst
Job Summary
A company is looking for a Compliance & Operations Analyst to support compliance and operational activities within the firm.
Key Responsibilities
- Assist with daily compliance and operational activities, including managing the Compliance Calendar and personal trading surveillance
- Support trading operations, including trade data loading and trade reporting/analysis
- Monitor regulatory developments and contribute to compliance program enhancements
Required Qualifications
- A high school diploma (or GED/equivalent) is required; a Bachelor's degree in Finance, Economics, or Business is preferred
- 2+ years of compliance/trading support experience within asset management or related financial services
- Solid understanding of SEC and FINRA regulations
- Proficiency with Microsoft Office Suite; experience with MyComplianceOffice software is preferred
- High ethical standards and commitment to confidentiality
COMPLETE JOB DESCRIPTION
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