What are the responsibilities and job description for the Trade Compliance Analyst position at Mission Staffing?
Our client, an asset management firm in Norwalk, CT, is looking to add a Compliance Analyst to their team! Responsibilities of this position include monitoring ongoing FINRA and SEC regulatory changes, testing and updating firmwide compliance policies and procedures, and managing and reviewing client documentation and communications. The ideal candidate will come with 3-5 years of compliance experience for a Registered Investment Advisor, product knowledge in Mutual and Exchange-traded funds, and a strong understanding of current SEC and FINRA trade requirements.
Responsibilities Include:
- Consistent testing, monitoring, and updating of the firm's policies and procedures to meet SEC and FINRA compliance standards
- Monitoring communications between the traders and clients
- Running regulatory and compliance reports as requested by the firm's Chief Compliance Officer and other stakeholders
Requirements:
- 3-5 years of compliance experience for a Registered Investment Advisor dealing in ETF and Mutual Funds
- Strong familiarity with SEC, FINRA, and 1940 Act regulations
- Excellent written and verbal communication skills
Salary : $35 - $40
