What are the responsibilities and job description for the Internal Compliance Officer - Investment Bank position at Larson Maddox?
A prominent firm in the investment banking and capital markets sector is looking for an Internal Compliance Officer to join the team. This firm is widely regarded as a leader in the space and is consistently at the top of league tables within the Finance industry. You will be part of a tight-knit team that helps the business shape its strategy behind much of its operations and therefore will impact the company's bottom line in a significant way.
Responsibilities:
- Manage Compliance Processes: Handle personal account disclosures, pre-clearance forms, and annual employee certifications.
- Data Management: Reconcile personal trading data, manage brokerage account statements, and perform data analysis.
- Employee Support: Address employee inquiries and deliver compliance training to new hires.
- Workflow Optimization: Streamline workflows, document processes, and conduct ad hoc reporting.
Qualifications:
- Bachelor's degree relating to Financial Industry (finance, economics, business, etc)
- 3 years' experience in financial services related to Code of Ethics, Compliance Monitoring, conflicts of interest, employee training, or personal trade surveillance
- Experience with compliance data systems; Microsoft Suite Applications and Compliance Trading System software skills
- Excellent communication skills, motivation to learn and advance skillset
Salary : $90,000 - $100,000
