Compliance Operations Analyst

A company is looking for a Compliance & Operations Analyst to support compliance and operational activities within the firm.

Key Responsibilities

Assist with daily compliance and operational activities, including managing the Compliance Calendar and personal trading surveillance

Support trading operations, including trade data loading and trade reporting / analysis

Monitor regulatory developments and contribute to compliance program enhancements

Required Qualifications

A high school diploma (or GED / equivalent) is required; a Bachelor's degree in Finance, Economics, or Business is preferred

2+ years of compliance / trading support experience within asset management or related financial services

Solid understanding of SEC and FINRA regulations

Proficiency with Microsoft Office Suite; experience with MyComplianceOffice software is preferred

High ethical standards and commitment to confidentiality