Analyst, Control Room Compliance

Job Description

This role is an excellent opportunity for an individual with a strong analytical mindset to contribute to the firm's Compliance function. The successful candidate will play a vital role in monitoring and ensuring adherence to regulatory requirements, gaining exposure to various capital markets activities. They will work closely with multiple business lines, including Equity Research and Investment Banking, to maintain regulatory compliance and support the firm's operations.

Responsibilities

• Maintain and monitor the firm's Watch List and Restricted List for regulatory compliance.
• Conduct surveillance and analysis of trading activities for the firm, customers, and employees.
• Oversee and track Equity Research activities, such as rating changes, initiations, and terminations.
• Manage and review research disclosures and disclaimers to ensure regulatory accuracy.
• Support Debt Research account distribution processes.
• Facilitate Capital Markets-related regulatory reporting requirements.
• Assist in developing, implementing, and enhancing compliance policies and procedures.
• Contribute to the design and delivery of business-specific Compliance training programs.
• Partner with stakeholders across business lines to ensure consistent compliance controls.
• Stay updated on regulatory changes and industry trends to maintain the firm's compliance standards.
  
  

Qualifications

• Bachelor's degree in a relevant field (e.g., Finance, Economics, Business, or a related discipline).
• 0-3 years of experience in financial services or a related professional field, with a focus on compliance or regulatory affairs.
• Strong analytical, organizational, and problem-solving skills, with a high attention to detail.
• Ability to work independently, manage multiple priorities, and thrive in a fast-paced environment.
• Proficiency in Microsoft Office Suite, particularly Excel, Outlook, PowerPoint, and Word.
• Excellent communication and interpersonal skills for effective collaboration with stakeholders.
• A self-motivated and proactive approach to learning and adapting to new regulations and industry practices.
• Willingness to obtain and pass the FINRA Securities Industry Essentials (SIE) exam within 6 months of hire.
• A strong interest in financial markets, regulatory frameworks, and compliance operations.
• A commitment to maintaining the highest standards of integrity and ethical conduct.