Advisory And Principal Investments Compliance Analyst

Profile

Advisory And Principal Investments Compliance Analyst
The candidate will conduct the initial review of all advisory, financing and principal transactions for evidence of conflicts and send escalations to the appropriate stakeholders. Coordinate with the business to receive timely status updates on outstanding transactions, provide advice and guidance consistent with the firm’s policies and procedures, and work with US based and global stakeholders to draft, update and implement policies and procedures to develop best practices. Will help manage a fast-paced business environment and to identify regulatory trends and developments that impact investment banking and capital markets, provide compliance training and materials, and assist the business to implement and document various supervisory/control mechanisms. Testing and monitoring of compliance with firm policies and conducting risk assessments of the business to ensure there is an effective business control framework. Must have strong interpersonal skills, initiative, and a good eye for detail. Should have a partnership mentality and be comfortable working in a team environment while also possessing the ability to work remotely and independently to meet deadlines, all while keeping an open communication with your management team. Degree and experience in financial services, investment banking, broker-dealer or regulatory environment, as well as having working knowledge of global capital markets and understanding of the U.S. regulatory environment are required. An advanced degree (JD or MBA) or completion of the FINRA series exams is preferred.

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