Role OverviewThe Compliance Analyst will report into the Chief Compliance Officer – Central Compliance and focus on surveillance and monitoring, with opportunities to contribute to collaborative projects across the firm’s global compliance program.
What You Will Do
Primary responsibilities include reviewing and analyzing reports, communicating and addressing surveillance issues, providing guidance to business units, and preparing regulatory filings.
Why It Might Be a Fit
The ideal candidate will have 1-5 years of investment advisory or broker-dealer compliance experience, a strong work ethic, high integrity, and excellent interpersonal and communication skills.
Requirements
- 1-5 years of investment advisory or broker-dealer compliance experience
- Bachelor's degree required
- Experience with equity and fixed-income securities products preferred
- Collaborative team player with a strong work ethic and high integrity
- Excellent interpersonal and communication skills
- Strong analytical skills and attention to detail
Benefits
- Paid time off
- Medical/dental/vision insurance
- Retirement
- Life insurance
- Discretionary bonus
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