Business Line Compliance Officer - Senior Analyst (Fixed Income & Equities Advisory)
Employer Industry: Financial Services
Why consider this job opportunity:
- Salary up to $95,000
- Eligible for a performance-based bonus
- Comprehensive health coverage including medical, dental, and vision insurance
- Opportunity for career advancement and growth within a fast-growing organization
- Flexible working arrangements, including remote work options
- Employee recognition programs and wellness support initiatives
What to Expect (Job Responsibilities):
- Assist the Control Room with daily monitoring of emails, deal entries, and communication with deal teams
- Monitor and maintain accurate statuses of deals in the Investment Banking and Capital Markets pipeline
- Participate in special projects and assist with the integration of compliance vendor tools
- Support the Investment Banking deal team with regulatory filings and manage pipeline reports
- Provide advisory support for Fixed Income and Equity projects, including policy development and documentation
What is Required (Qualifications):
- Bachelor's Degree
- 2-4 years of experience in compliance or a related field at a broker-dealer or similar financial institution
- Strong analytical skills with the ability to identify issues and problem-solve
- Excellent verbal and written communication, drafting, and proofreading skills
- Proficiency with Microsoft applications (Teams, SharePoint, Excel, Word, etc.)
How to Stand Out (Preferred Qualifications):
- Active Series 24 License (or ability to obtain within 120 days of start date)
- Knowledge of Fixed Income products and familiarity with TRACE reporting
- Familiarity with Equity Markets and reporting requirements such as CAT/CAIS
- Experience with first-line surveillance of business activities and related tools
- Previous experience interpreting SEC, FINRA, MSRB rules and writing WSPs
#FinancialServices #Compliance #CareerOpportunity #RemoteWork #CompetitivePay #EmployeeBenefits
We prioritize candidate privacy and champion equal-opportunity employment. Central to our mission is our partnership with companies that share this commitment. We aim to foster a fair, transparent, and secure hiring environment for all. If you encounter any employer not adhering to these principles, please bring it to our attention immediately.
We are not the EOR (Employer of Record) for this position. Our role in this specific opportunity is to connect outstanding candidates with a top-tier employer.
Apply Now
Apply Now
Why consider this job opportunity:
- Salary up to $95,000
- Eligible for a performance-based bonus
- Comprehensive health coverage including medical, dental, and vision insurance
- Opportunity for career advancement and growth within a fast-growing organization
- Flexible working arrangements, including remote work options
- Employee recognition programs and wellness support initiatives
What to Expect (Job Responsibilities):
- Assist the Control Room with daily monitoring of emails, deal entries, and communication with deal teams
- Monitor and maintain accurate statuses of deals in the Investment Banking and Capital Markets pipeline
- Participate in special projects and assist with the integration of compliance vendor tools
- Support the Investment Banking deal team with regulatory filings and manage pipeline reports
- Provide advisory support for Fixed Income and Equity projects, including policy development and documentation
What is Required (Qualifications):
- Bachelor's Degree
- 2-4 years of experience in compliance or a related field at a broker-dealer or similar financial institution
- Strong analytical skills with the ability to identify issues and problem-solve
- Excellent verbal and written communication, drafting, and proofreading skills
- Proficiency with Microsoft applications (Teams, SharePoint, Excel, Word, etc.)
How to Stand Out (Preferred Qualifications):
- Active Series 24 License (or ability to obtain within 120 days of start date)
- Knowledge of Fixed Income products and familiarity with TRACE reporting
- Familiarity with Equity Markets and reporting requirements such as CAT/CAIS
- Experience with first-line surveillance of business activities and related tools
- Previous experience interpreting SEC, FINRA, MSRB rules and writing WSPs
#FinancialServices #Compliance #CareerOpportunity #RemoteWork #CompetitivePay #EmployeeBenefits
We prioritize candidate privacy and champion equal-opportunity employment. Central to our mission is our partnership with companies that share this commitment. We aim to foster a fair, transparent, and secure hiring environment for all. If you encounter any employer not adhering to these principles, please bring it to our attention immediately.
We are not the EOR (Employer of Record) for this position. Our role in this specific opportunity is to connect outstanding candidates with a top-tier employer.
Apply Now
Apply Now