102 Compliance Analyst Jobs in New York, NY
Talent Software services is Hiring a Compliance Analyst Near New York, NY
Job Summary: Talent Software Services is in search of a Compliance Analyst for a contract position in New York, NY(Hybrid). The opportunity will be six months with a strong chance for a long-term extension.Position Summary: The Compliance Officer assists Compliance management in the effective implementation, maintenance, and administration of the Global Markets Compliance Program. The role provides compliance advisory services, coordinates and performs ongoing risk assessments, and conducts monitoring and surveillance activities to ensure that the Compliance Program remains current and aligned with the Firm’s Enterprise-wide Compliance Program.
Primary Responsibilities/Accountabilities:
- Initiate and monitor testing related to the equities trading business
- Monitor controls that cover trade reporting, execution, and electronic communication
- Assist in policy creation and streamlining of existing procedures
- Branch inspection reviews covering the various locations the business runs out of
- Knowledge of U.S. securities rules and regulations; particularly SEC and FINRA.
- Coordinate and perform ongoing risk assessments and compliance reviews to ensure compliance policies and risk controls are operating appropriately. Create analyses of risk assessments for LOB business group(s). Identify and analyze factors which may affect risk mitigation and compliance with applicable regulatory requirements.
- Elevate high profile or high risk cases to the Compliance and LOB management to ensure visibility and prompt resolution.
- Perform ongoing validation of monitoring strategies to ensure appropriate governance and control. Identify observations of trends and recommendations to optimize data.
- College Degree
- 1-3 years experience in Compliance
- Strong attention to detail, communication skills, critical thinking skills, and people/project management skills
- Willing to take initiative, ask questions, and foster an overall positive team environment
- Previous compliance experience at a major Financial Institution
- Previous experience with Smarts [surveillance software]
- Knowledge of U.S. securities rules and regulations; particularly SEC and FINRA.SIE EXAM
Job Summary
Full Time
IT Outsourcing & Consulting
$101k-127k (estimate)
07/04/2024
12/29/2024
talentemail.com
Minneapolis, MN
50 - 100
IT Outsourcing & Consulting
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The job skills required for Compliance Analyst include Initiative, Attention to Detail, Risk Assessment, Project Management, Trading, Compliance Management, etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Analyst. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Analyst. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Compliance Analyst positions, which can be used as a reference in future career path planning. As a Compliance Analyst, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Analyst. You can explore the career advancement for a Compliance Analyst below and select your interested title to get hiring information.
If you are interested in becoming a Compliance Analyst, you need to understand the job requirements and the detailed related responsibilities. Of course, a good educational background and an applicable major will also help in job hunting. Below are some tips on how to become a Compliance Analyst for your reference.
Step 1: Understand the job description and responsibilities of an Accountant.
Quotes from people on Compliance Analyst job description and responsibilities
Compliance analysts can help ensure that your organization's products or processes meet compliance specifications.
03/13/2022: Hopkinsville, KY
They can audit members of professional organizations to determine whether they meet the standards set by the organization.
03/11/2022: Fresno, CA
Most of them contribute to security designs through acquisitions and/or system developments to deliver and maintain a compliant system.
02/10/2022: Clearwater, FL
Help companies remain compliant with regulations, thus preparing them for audits.
03/13/2022: Columbus, OH
The compliance analyst has a duty to maintain legal and regulatory compliance by researching, analyzing, and communicating regulatory requirements and obtaining the appropriate approvals.
02/27/2022: Casper, WY
Step 2: Knowing the best tips for becoming an Accountant can help you explore the needs of the position and prepare for the job-related knowledge well ahead of time.
Career tips from people on Compliance Analyst jobs
Every compliance analyst has slightly different duties, tasks, and responsibilities due to varying job descriptions.
12/30/2021: Billings, MT
Smaller organizations still focus on having a single compliance specialist rather than a complete department.
01/25/2022: Santa Cruz, CA
Sometimes, the compliance analyst works along with the compliance head and other compliance officers.
01/26/2022: Denver, CO
Ability to accurately complete applications for compliance certification.
03/08/2022: Fayetteville, AR
Get Certifications and Continue Learning.
12/24/2021: Saginaw, MI
Step 3: View the best colleges and universities for Compliance Analyst.
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