Compliance Analyst
Skills
- Experience in trading firm or regulatory environment
- Bachelor’s degree
- FINRA Series Licenses SIE and 57
- Knowledge of financial industry regulations
- Proficiency in surveillance tools
- Strong interpersonal and organizational skills
- Attention to detail
- Ability to convey complex ideas clearly
Responsibilities
- Partner with the Compliance Team to drive IMC’s regulatory vision and compliance efforts
- Promote the Firm’s Compliance culture and awareness of regulatory developments
- Monitor trading activity using the Firm’s surveillance systems
- Provide operational support for external Compliance data reporting platforms
- Investigate regulatory reporting exceptions and drive corrective actions
- Implement Compliance onboarding and offboarding procedures
- Assist in investigating compliance issues and responding to audits
- Conduct reviews of employee personal trading activities
- Maintain organized documentation of compliance processes
Education
- Bachelor’s degree
Benefits
- Discretionary bonus
- Paid leave
- Health insurance
- Retirement plan
Average salary estimate
If an employer mentions a salary or salary range on their job, we display it as an "Employer Estimate". If a job has no salary data, Rise displays an estimate if available.
Seeking a Compliance Officer with Delta1 expertise to enhance IMC’s regulatory compliance framework and drive culture within the organization.
Join IMC as a Data Engineer and play a critical role in optimizing our Big Data ecosystem to support financial market efficiencies.
Seeking a Compliance Manager to lead the company's compliance initiatives and ensure adherence to relevant regulations in a healthcare environment.
Join Crowell & Moring LLP as a Legal Secretary and contribute to a supportive team environment while assisting top-tier legal professionals.
Join our dynamic legal team as an Assistant General Counsel, where you'll tackle exciting challenges in global health and create impactful legal solutions.
Lead technology risk and SOX controls initiatives at a mature firm to ensure compliance and strengthen cybersecurity governance.
Join American Express as a Manager in Compliance to lead and enhance their Fair Lending Program Office initiatives.
LEAP is looking for a qualified Family Lawyer to provide expertise and drive innovative product solutions in family law technology.
Step into the role of Director of Compliance at AbbVie, where your strategic expertise will guide our compliance efforts in the Allergan Aesthetics business.
Become a vital part of Boundless as the Manager, Operations Counsel, driving team leadership and operational success in the immigration domain.
Become a pivotal member of Cohere's Legal team as a Senior Counsel, focusing on corporate governance and compliance within the innovative AI sector.
Join Capital One as an Executive Assistant - Legal, where you will be an essential support figure in a dynamic and collaborative environment.
Join Boundless as a Manager, Client Counsel, where you will empower a team of attorneys and enhance the customer journey in U.S. immigration services.
Join Blitt and Gaines, P.C. as a Legal Assistant to support Attorneys in managing court operations and legal documentation.
Join the Google Compliance team as a Global Process Manager, where you'll ensure compliance with economic sanctions regulations and contribute to innovative solutions.
Subscribe to Rise newsletter
🔮
Hi, I'm Risa! Your AI Career Copilot
you, just ask me below!
