Our client is a financial services firm. They seek a Research Analyst to join their Manhattan, NY office. Experience in the financial services industry is required.
Responsibilities
Provide support to investment professionals on the firm’s Compliance Program
Implement the firm’s Code of Ethics, including personal trading and outside business activity
Help on-board new employees with Compliance training and documentation
Assess firm and employee trade surveillance reports to identify potential issues
Review E-surveillance reports of messages sent over firm platforms to identify potential issues
Analyze fund allocation reports to ensure compliance with firm policy
Support to the Research Compliance function, including reviewing consultant approvals
Requirements
Bachelor’s degree
1-2 years of relevant Compliance experience
Financial services industry background
Fund-related experience preferred
Understanding of trading and markets
Able to multi-task with keen attention to detail
Skilled in Microsoft Office (Excel and Word)
JobID: 16684
Seniority level
Associate
Employment type
Full-time
Job function
Administrative
Industries
Financial Services
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