Jr. Compliance Analyst

Our client is a well-established, global investment bank and asset manager seeking a junior Compliance Analyst to join its first in class Compliance team. This provides an excellent opportunity for training and advancement within Financial Services Compliance & Regulation.

Key responsibilities will include:

• Monitoring employee electronic communications
• Assisting with new employee onboarding and compliance training
• Daily surveillance of the firm's Personal Investment Policy utilizing a 3rd party vendor system (StarCompliance)
• Managing employee licensing and reporting.
• Other compliance and administrative projects as required.

Requirements:

• BA in Finance or related field.
• A minimum of 1 year experience in a Compliance role in a regulated financial services environment (Broker Dealer or Asset Management ideally)
• Highly ambitious to build a career with Compliance & Regulation.

This is primarily an in-office role at the Firm's NYC Headquarters.