Job Description
Title: Broker-Dealer Compliance Analyst
Location: NYC
Type: Contract Responsibilities:
• Assess business activities and support functions for compliance with applicable laws, regulations and internal policies and procedures.
• Assist with the development, implementation, execution and reporting of the Firm’s compliance monitoring and testing program to support risk mitigation efforts and adherence to regulatory requirements and internal policies and procedures
• Work with compliance partners to complete risk assessments, conduct targeted reviews of business activities and perform inspections of branch offices
• Assess the design of controls and test their effectiveness
• Prepare reports that identify issues and work with issue owners to identify solutions and ensure remediation
• Assist with surveillance enhancements and work on strategic surveillance projects; review, analyze and investigate issues within the surveillance platform
Qualifications:
• Bachelor's / University degree
• 1 to 3 years relevant experience with a regulator, broker-dealer or other financial services institution
• PowerPoint/Excel skills
• Knowledge of laws, rules, regulatory requirements, and risks impacting broker-dealers, particularly those applicable to investment banking, equity and fixed income sales and trading, and research
• Experience in executing compliance testing and drafting reports
• Experience with risk assessments and surveillance systems
• Data organization and analysis proficiency, including the ability to develop relevant metrics based on data sets
• Excellent verbal and written communication skills
• Highly organized, strong attention to detail
• Be comfortable working both independently and in a team environment
• Be a critical thinker, proactive, and creative
• Be a quick learner and self-starter, with the ability to manage multiple tasks simultaneously with minimal supervision
• Have a positive, hands-on, “can-do” attitude
• Data analytics education and or experience is a plus
Estimated Min Rate : $32.00
Estimated Max Rate : $40.00
What’s In It for You?
We welcome you to be a part of the largest and legendary global staffing companies to meet your career aspirations. Yoh’s network of client companies has been employing professionals like you for over 65 years in the U.S., UK and Canada. Join Yoh’s extensive talent community that will provide you with access to Yoh’s vast network of opportunities and gain access to this exclusive opportunity available to you. Benefit eligibility is in accordance with applicable laws and client requirements. Benefits include:
- Medical, Prescription, Dental & Vision Benefits (for employees working 20+ hours per week)
- Health Savings Account (HSA) (for employees working 20+ hours per week)
- Life & Disability Insurance (for employees working 20+ hours per week)
- MetLife Voluntary Benefits
- Employee Assistance Program (EAP)
- 401K Retirement Savings Plan
- Direct Deposit & weekly epayroll
- Referral Bonus Programs
- Certification and training opportunities
Note: Any pay ranges displayed are estimations. Actual pay is determined by an applicant's experience, technical expertise, and other qualifications as listed in the job description. All qualified applicants are welcome to apply.
Yoh, a Day & Zimmermann company, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Visit to contact us if you are an individual with a disability and require accommodation in the application process.
For California applicants, qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act. All of the material job duties described in this posting are job duties for which a criminal history may have a direct, adverse, and negative relationship potentially resulting in the withdrawal of a conditional offer of employment.
Job Tags
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