Description
My client, based in Midtown Manhattan are looking for a Compliance Analyst with the compensation ranging between $60-$80,000 based on experience.The candidate will be responsible for conducting e-mail correspondence reviews, TRACE trade reporting review, MSRB trade reporting reviews, New Account KYC/CIP reviews, AML surveillance reviews etc.
The successful candidate will also be responsible for responding to regulatory inquiries and exams, preparing and conducting employee training, filing forms U-4/U-5, reviewing employee personal account transactions, responding to inquiries from senior managers/traders.
The ideal candidate should have 4-6 years of prior Compliance experience at a fixed income institutional broker dealer.
Knowledge of Corporate, Municipal, and Structured Credit markets and rules as well as prior FINRA experience preferred. Series 7, 63, and 24 Preferred.
If you are interested and have the skills required, please apply.
To find out more about Huxley Associates please visit www.huxley.com