Compliance Analyst - Trade Support (Max $33/hr W2)

Company Description

Finance

Job Description

Onsite - 5 days a week

• Interacting with IED supervisors and, when necessary, traders and sales people with regard to supervisory issues, exceptions and obtaining sign-offs;
• Liaising with Compliance Surveillance teams to review escalations and assist in the disposition of market abuse surveillance alerts

• Improving and monitoring existing control frameworks and / or creating new control frameworks if none exist;
• Reviewing sales and trading exception reports on a daily basis and maintaining records relating to these reviews, some examples include Best Execution, Manning and Frontrunning;

Experience / Skills Required:
• 2-5 years with a background in Compliance, Risk Management and / or Trading Support focusing on sales and trading issues
• Strong motivation, be a self-starter with a positive outlook and desire to solve problems
• Strong analytical skills with an ability to understand complex workflows
• Ability to identify and escalate issues effectively and appropriately
• Exceptional organizational skills and a high degree of attention to detail
• Solid understanding of applicable regulatory rules and regulations
• Strong project management skills
• Excellent oral and written communication skills by clearly articulating objectives, requirements, risks and issues
• An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issues
• Ability to handle multiple tasks simultaneously in a timely and effective manner, and thrive in a fast-paced environment
• Proven ability to take ideas forward and to challenge others with integrity and maturity
• Proficiency in data analytics and visualization tools such as Tableau is a plus

Additional Information

All your information will be kept confidential according to EEO guidelines.