Technology Compliance - Senior Analyst
Responsibilities
The Senior Compliance Analyst’s primary focus will be to :
- Support compliance coverage of the firm’s technology and data enterprise, and coverage for broker-dealer clients
- Design periodic and adhoc supervisory reports and complete associated reviews
- Engage with stakeholders across technology and operations teams and support them in an advisory capacity
- Implement internal control enhancements and appropriately solution potential compliance matters
- Assist draft business specifications to create and improve surveillance and compliance tools
- Assist coordinate responses to regulatory inquiries from foreign and US regulators
- Draft and implement firm policies, controls and written supervisory procedures
Qualifications
- 5+ years’ experience with a broker-dealer, investment manager or regulator
- Solid academic background with a Bachelors or Masters in Finance, Computer Science, Data Sciences or Information Systems preferred
- Working knowledge of SEC, FINRA, CFTC, CME, NFA, US and foreign regulations relevant to the areas of coverage
- Strong working knowledge of industry standards from NIST, ISO, COBIT, ISACA, EDM, etc
- High degree of comfort and fluency with computers and technology, and an understanding of how technology is applied to business and regulatory problems.
- 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
- Knowledge of information systems, software development, UNIX, SQL, Perl and databases is a plus
Company Benefits & Perks
- Competitive salary, annual performance-based bonus and stock grant
- Retirement plan 401(k) with a competitive company match
- Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
- Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
- Paid time off and a generous parental leave policy
- Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack
- Corporate events, including team outings, dinners, volunteer activities and company sports teams
- Education reimbursement and learning opportunities
- Modern offices with multi-monitor setups
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