Junior Compliance Analyst
Location: New York, NY
RTO: 4 days in office
Department: Compliance
Position Summary:
The Jr. Compliance Analyst will play a critical role in supporting the firm’s compliance program, focusing on electronic surveillance, monitoring and testing, new hire onboarding, and regulatory obligations. This role involves daily interaction with cross-functional teams and requires strong attention to detail, organizational skills, and the ability to manage multiple priorities.
Key Responsibilities:
E-Surveillance Monitoring & Testing
New Hire Onboarding
Compliance Approvals and Disclosures
Regulatory Training Support
Audits, Regulatory Exams & Investigations
Reporting & Metrics
Policies, Procedures, and Standards
Projects
Qualifications:
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