Compliance-GBM Public- Equities-New York-Analyst
$75,000–$100,000 year
On-siteNew York City, New York, United States or New York, United States
Job Summary
Provide day-to-day line Compliance coverage for Global Markets Division Equities Sales, Trading, and Strats personnel. Advise on business conduct to comply with SEC, CFTC, FINRA, and other regulatory rules. Assess new business initiatives, develop and maintain compliance policies, and create training programs for Equities professionals. Represent Compliance in cross-divisional regulatory projects, assist with examinations and audits, and manage compliance escalations through look-backs and oversight. Analyze amended laws to formulate practical solutions for industry-wide issues while supporting the firm's governance framework.
Required Qualifications
- Bachelor's Degree
- 0-3 years Compliance, Legal, Regulatory or Financial Services industry experience
- General knowledge of rules and regulations governing broker-dealers, swap dealers, and other regulated financial services entities (SEC, CFTC, FINRA, NFA, NYSE, Nasdaq, CBOE, ISE, etc.)
- Excellent communications skills (oral and written) that demonstrate control-side empowerment
- Proven ability to handle and prioritize multiple projects and simultaneously work under pressure while remaining organized
Desired Qualifications
- Understanding of equities markets and products
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