Compliance Analyst
GREENWICH-06831, CT, US
11/11/2019
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Required Skills
written communication skills
Company
Infinity Consulting Solutions, Inc
Experience
3 to 5 Year(s)
Job Description
Compliance Analyst
Responsibilities
The Compliance Analyst will be responsible for:
Conducting surveillance and due diligence of third parties who refer clients through the Firm's Referrer Program.
Drafting and implementing firm policies, controls and written supervisory procedures designed to ensure the firm's program is in line with regulatory requirements.
Helping to craft detailed written instructions for programmers and technology staff to enhance internal controls.
Coordinating responses to regulatory inquiries pertaining to the Referrer Program from the US federal, state and foreign regulators.
Qualifications
3-5 years' experience with the SEC, Client, CFTC, NFA, an exchange, law firm, or another broker-dealer or FCM.
Appropriately registered compliance officer (i.e., at least a Series 7 and/or Series 3 registration) or member in good standing of the bar of any U.S. state or the District of Columbia preferred.
Specific experience with broker/dealer referrer programs preferred.
Solid academic background.
High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems.
Outstanding oral and written communication skills
Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision
Compliance Analyst
Compliance & regulatory
No Preference
FullTime Job
Other
1
Candidate Requirements
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Bachelors
Walkin Information
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10/23/2019
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Recruiter Details
Doug Klares
1350 Broadway, Suite 2205,
NEW YORK-10018, NY
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