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Compliance Analyst

  • Location: Greenwich, CT
  • Job Type: Direct Placement
  • Ref No: 20-01010
  • Date: February 13, 2020
  • Job title:

Cindy Lukic

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Job Description - Compliance Analyst

Compliance Analyst





Responsibilities

  • The Compliance Analyst will be responsible for:
       
    • Conducting surveillance and due diligence of third parties who refer clients through the Firm's Referrer Program.
    •  
    • Drafting and implementing firm policies, controls and written supervisory procedures designed to ensure the firm's program is in line with regulatory requirements.
    •  
    • Helping to craft detailed written instructions for programmers and technology staff to enhance internal controls.
    •  
    • Coordinating responses to regulatory inquiries pertaining to the Referrer Program from the US federal, state and foreign regulators.

Qualifications

  • 3-5 years' experience with the SEC, Client, CFTC, NFA, an exchange, law firm, or another broker-dealer or FCM.
  • Appropriately registered compliance officer (i.e., at least a Series 7 and/or Series 3 registration) or member in good standing of the bar of any U.S. state or the District of Columbia preferred.
  • Specific experience with broker/dealer referrer programs preferred.
  • Solid academic background.
  • High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems.
  • Outstanding oral and written communication skills
  • Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
  • Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision

 




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