Senior Compliance Analyst Job in New York, New York US
Research and respond to Regulatory Inquiries and Requests for Information and Documentation from FINRA, SEC and other State and Federal regulatory and self-regulatory organizations.
Work with Director, Regulatory Affairs to coordinate document review and production during on-site regulatory examinations.
Assist with review and preparation of monthly risk analysis.
Analyze rule proposals.
Compile and distribute document highlighting upcoming rule proposals and significant regulatory changes that could have an impact on the business.
Work with the Corporate Compliance department on registration, continuing education, customer complaints and departmental initiatives.
Update and maintain electronic log to track status of requests.
Provide administrative support to Global Head of Compliance.
Bachelor's degree in Finance or Business Administration or other business-related field.
Securities Licenses: 7 (required), 24, 55 and 63 (preferred).
3-5 year regulatory experience within a broker-dealer or regulatory or self-regulatory organization.
Experience working with regulators both with regard to standard inquiries and during an on-site exam.
Strong written and oral communications skills.
Microsoft Excel and Word proficient.
Ability to multi-task.
Apply Now
« Apply for Senior Compliance Analyst Job in New York, New York US
Related jobs
Senior Business Analyst (Retail Investment Reporting) Job in New York, New York US
Financial Consultant Book Management ˘‚¬ this position will be functionally responsible for managing Financial Books down to the individual customer level.The position ...
Tools Developer Job in New York, New York US
Our client, a successful and growing Hedge Fund built around the principles of discipline, measurement and technology, is seeking a full time Tools Developer to join a ...
Senior Technical Manager, Long Term Research Exercise Physiology Job Job in Chicago, Illinois US
Description- Lead the LTR Exercise Physiology education and professional liaison team - Accountable for developing and managing team objectives, programs, and budget in ...
Student Counselor Job in New York, New York US
Responsible for the Colleges student counseling program and for supporting the Faculty and Administration in their efforts to retain students.Job Components /Principal D...
Senior Sales Manager, Consumer Electronics, Americas Job in New York, New York US
THE BIG PICTUREAre you a technology sales pro whos plugged in to the US consumer electronics community? Can you explain to your relatives the difference between MPEG-2 ...
Department Manager, Risk Management Job in Arlington Heights 60005, Illinois US
Pace Suburban Bus has an exciting opportunity for an experienced and motivated Department Manager, Risk Management.Under the direction of the Deputy Executive Director ...
Admissions Representative Job in New York, New York US
Fast growing college with campuses in Downtown Brooklyn and Midtown Manhattan is seeking a full time, high energy, confident and professional Admissions Representative.T...
Turnaround Management Consultant Job in Arlington Heights, Illinois US
ABS employs a highly experienced group of management consultants specializing in serving small and medium size businesses in the US and Canada.The experience of our ...
TERRITORY MANAGER FOR EMERGING MARKETS AFRICA/ CARRIBEAN Job in NEW YORK, New York US
Seeking Candidates for any one of the following Emerging Markets: Africa, Caribbean CorridorsCompany Description: Ria Financial Services (Ria) is the money transfer ...
Sales Executive-Database/Direct Marketing-Home Office Job in New York, New York US
Sales Executive Home Office Based Nationwide or Tampa Clearwater AreaBase Salary: $40-50K Base with OTE over $85K first year second year over $100K(Top Rep made over $150...
Career Discussions
.gif){kind=avatar}
What do i do about a rude supervisor? (2 answers)
I am 17 my supervisor is 18, she is a bisexual, and i am totally cool with that, however on many occasions she likes to say that perhaps i am too, tha ...
.gif){kind=avatar}
I'm 14. Where can I work? (Specific Places)? (1 answers)
I'd like to maybe answer phone calls, file, or be a cashier at maybe Justice for Girls. ...
Any advice on writing a resume? Applying for my first part-time job.? (0 answers)
I'm 14 and I'm applying for a job at Kumon Learning Center, basically where elementary students go for mass brainwash/tutoring and such. I u ...
.jpg){kind=avatar}
Is medical transcription a scam or a career with a positive outlook? (0 answers)
Online working from the home vs office--any filmiliarity with career step? ...
How do i know what job to apply for? (2 answers)
I want to get a job and i've never had of applied for a job before what would be a good position to apply for if lets say i'm applying at a ...
.gif){kind=avatar}
What all is included in schooling to become a sonographer? And How much is the pay?-job description :)? (2 answers)
I was wondering what all is included in the schooling to become an ultrasound tech or a sonographer or whatever you want to call it... What are the co ...
.gif){kind=avatar}
What are some of the most desirable careers? Any good websites to check? (0 answers)
Question pretty much at the top.. I'm just thinking about what I want to do for the rest of my life, and whether or not I can actually do it is i ...
.jpg){kind=avatar}
Is a job as a Ultrasound tech a good choice? (0 answers)
I want to go to school for ultrasound tech but, I would like to hear form people in the job. How they like there job exc. Thank you ...
(10 points!!!) job related expenses? (2 answers)
What are some job related expenses that would decrease my salary?? ...
Retail people, is it normal to just get hired and get no hours? (3 answers)
I was just hired by toys r us. I had a 2 part orientation that was last tues and saturday where I basically worked the register all day. I went to che ...