Experis IT, the professional division of the ManpowerGroup, invites you to join our 13,000+ consultant team today. We offer a large national presence, high stability, and tremendous remarket capabilities. We are currently seeking a Compliance Analyst for our Investment Banking client located in Midtown.
Are you detail oriented even when multitasking? Are you interested in trading products as well as regulatory requirements? Are you inquisitive with analytical and risk-aware mind-set? We are looking for someone like that to help us:
Ensure completeness, accuracy and timeliness requirements around regulatory reporting for U.S. equity securities are met by performing monitoring and control activities. This includes daily exceptions management activities, logging and participating in the resolution of issues raised that impact regulatory reporting and ensuring appropriate escalation of items.
Assisting in the review of day to day control processes for U.S. trade and transaction reporting obligations such as OATS, TRF (i.e. ACT), EBS, 605/606, TRACE, and LOPR.
Work as part of the team on upcoming regulatory and process changes to ensure reporting continues successfully.
Support senior staff in researching and responding to regulatory requests.
Conduct and document monitoring reviews to assess compliance with and adherence to regulations.
Interface with internal and external clients to provide operational and administrative support as needed.
You'll be working in the Equities Regulatory Risk Management team. We are an Equities Front Office function focused on ensuring necessary processes exist to support compliance with relevant securities laws, rules, regulations, and internal policies. We work with a number of internal areas, including Equities Sales and Trading, COO, Operations, Compliance & Operational Risk Control, and IT.
A degree in any discipline will be considered, but preferably in Finance / Economics / Business Management.
Knowledge of equities and products and trade flows, with a focus on trading systems and reporting processes.
Knowledge of investment bank products, trade life cycle, and trade booking models will be a strong advantage.
Experience in Compliance, operational risk and control / operations / audit in the financial services industry.
Strong Excel as well as analytical and problem-solving skills across large data sets
A risk and control mind set, with solid communication skills, drive and commitment.
Able to manage high volumes of requests and ability to complete tasks to a high standard
Team-oriented, while able to complete tasks independently.
Innovative approach to solving day-to-day process problems.
Experis is an Equal Opportunity Employer (EOE/AA)