Global Advisory, Legal & Compliance Analyst, NY

About Us

Rothschild & Co is a leading global financial services group with seven generations of family control and a history of over 200 years at the centre of the world's financial markets.

Our expertise, intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients, communities and planet.

We have 4,200 talented specialists on the ground in over 40 countries around the world, enabling us to deliver a unique global perspective across four market-leading business divisions Global Advisory, Wealth Management, Asset Management and Five Arrows.

As a family-controlled business built on relationships, we place a huge emphasis on our people and finding the right colleagues to take our business forward.

Rothschild & Co is committed to an inclusive and supportive environment where diversity and different perspectives are valued.

We are focused on the attraction and recruitment, development and retention and progression of high calibre talent to ensure we and our clients benefit from the value of difference.

Overview of Role

Rothschild & Co is a registered broker-dealer that provides financial advisory services to corporate clients in connection with mergers and acquisitions, bankruptcy and restructuring and equity capital markets transactions.

We are seeking an Analyst to provide compliance monitoring and support in connection with our broker-dealer compliance program.

The Analyst will work closely with our attorneys and other legal and compliance personnel and will also interface with the firm’s investment banking personnel.

Responsibilities

The Analyst will assist with the following compliance functions, among others :

• Maintaining our electronic compliance management system
• Monitoring employee personal trading, including handling trade and account approvals
• Performing conflicts checks
• Assisting with new client due diligence and take-on procedures, including anti-money laundering checks
• Monitoring employee outside business activities and financial interests
• Assisting with regulatory filings and responses to regulatory inquiries and audits
• Handling internal compliance reporting
• Assisting with corporate housekeeping (e.g., corporate resolutions and minutes)
• Participating in the annual compliance audit
• Assisting with responses to litigation-related document production requests
• Assisting with additional legal and compliance projects as needed

Education and Qualifications

• Bachelor’s Degree
• Prior work experience in compliance, the financial services industry or as a paralegal

Experience, Skills and Competencies Required

• Excellent time management and follow up skills
• Attention to detail
• Analytical
• Team player
• Strong communication skills
• Ability to work under pressure and manage multiple deadline and priorities
• Sound judgment and discretion in dealing with highly confidential / sensitive business matters
• Ability to interface effectively with all levels of employees
• Proficient in MS Office (Outlook, Excel, Word and PowerPoint)
30+ days ago