Compliance Analyst
Tandym Group
A financial services firm in New Jersey is seeking a Compliance Analyst to join their team in Jersey City.
About the Opportunity:- Shift: Day
- Schedule: Monday to Friday
- Hours: 9am to 5pm (EST)
- Setting: Hybrid (at least 3 days a week onsite)
- Prepare the weekly 15c3-3 Customer Protection Rule computation
- Review internal processes to identify potential compliance risks
- Conduct compliance reviews and prepare documentation and reports
- Monitor regulatory changes and help update policies and procedures
- Support investigations into compliance issues and recommend corrective actions
- 5+ years of professional experience, including 2+ years of experience in a Compliance Analyst or similar Compliance role
- Bachelor's Degree
- Experience working in a Broker-Dealer environment
- Experience preparing the weekly 15c3-3 Customer Protection Rule computation
- Master's Degree
- Axiom 15c3-3 experience
- Knowledge of regulatory frameworks and Compliance monitoring practices
- Experience with Internal Auditing or Risk Assessment
- Proficiency with Microsoft Office and compliance management tools.
Vacancy posted 4 days ago
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