Compliance Analyst

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POST DATE 8/9/2016
END DATE 12/19/2016

Confidential Company New York, NY

New York, NY
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #


A company in Midtown Manhattan is seeking a Compliance Analyst with at least 1-2 years of experience.

* Review marketing materials (primary responsibility).
* Liaise between marketing compliance associates in each business group to manage Firm Strategic Partnership relationships.
* Conduct email review.
* Manage logistics for organizing compliance training and work with CCO to develop content.
* Conduct training for firm new hires on a regular basis.
* Assist with annual broker-dealer compliance reviews (i.e., annual firm testing and branch testing).
* Assist in preparing annual FINRA risk control assessment.
* Work on Private Wealth Management initiatives.
* Assist in the drafting of compliance policies and procedures .
* Take on additional assignments as needed.