Compliance Analyst

Location: New York, NY

Job Overview: As the Ethics and Compliance Specialist, you will play a critical role in implementing and overseeing the firm's compliance program. This is an excellent opportunity for an individual with a strong attention to detail and a passion for ensuring regulatory adherence.

Responsibilities: The Ethics and Compliance Specialist will be responsible for the following: Assisting in the implementation and maintenance of the firm's compliance program Conducting regular reviews and evaluations to ensure compliance with regulatory requirements and internal policies Supporting the management of employee trade preclearance, outside business activities, and personal investments Providing guidance to employees on compliance-related matters and promote awareness of policies and procedures Identifying and escalate potential compliance violations and work towards timely remediation Assisting in conducting compliance testing and forensic analysis of internal controls Collaborating with cross-functional teams to develop and deliver compliance training programs Preparing reports and documentation for internal and external stakeholders Staying informed about regulatory developments and industry best practices to ensure ongoing compliance Supporting the compliance team in regulatory examinations, audits, and inquiries

Qualifications: To be considered for the Ethics and Compliance Specialist role, you should have the following: Bachelor's degree in a relevant field 1-3 years of experience in a compliance role within the financial industry Strong understanding of regulatory requirements and industry standards Effective communication skills, both written and verbal Ability to work independently and collaboratively in a team environment Proficiency in Microsoft Office Suite