Compliance Analyst

6 Months

New York, NY (5 days onsite)

Responsibilities Include:

• Interacting with IED supervisors and, when necessary, traders and sales people with regard to supervisory issues, exceptions and obtaining sign-offs;

• Improving and monitoring existing control frameworks and / or creating new control frameworks if none exist;

• Reviewing sales and trading exception reports on a daily basis and maintaining records relating to these reviews, some examples include Best Execution, Manning and Frontrunning;

• Liaising with Compliance Surveillance teams to review escalations and assist in the disposition of market abuse surveillance alerts

• Identifying, designing, testing, and implementing new control / exception reports to ensure that the Firm keeps pace with the evolving Regulatory environment;

• Leading and participating in projects related to the overall IED risk management framework, as well as the information security programs;

• Helping ensure that IED sales and trading activities satisfy all pertinent legal, regulatory and Firm requirements;

• Reviewing and interpreting Firm as well as IED specific policies and procedures for application to the business;

• Establishing relationships and work closely with IED supervisors, IED Risk Management, Technology, Operations and Compliance;

• Providing application approvals and performing entitlement reviews of various applications owned and accessed by IED sales and trading desks.

Experience / Skills Required:

• 2-5 years with a background in Compliance, Risk Management and / or Trading Support focusing on sales and trading issues

• Strong motivation, be a self-starter with a positive outlook and desire to solve problems

• Strong analytical skills with an ability to understand complex workflows

• Ability to identify and escalate issues effectively and appropriately

• Exceptional organizational skills and a high degree of attention to detail

• Solid understanding of applicable regulatory rules and regulations

• Strong project management skills

• Excellent oral and written communication skills by clearly articulating objectives, requirements, risks and issues

• An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issues

• Ability to handle multiple tasks simultaneously in a timely and effective manner, and thrive in a fast-paced environment

• Proven ability to take ideas forward and to challenge others with integrity and maturity

• Proficiency in data analytics and visualization tools such as Tableau is a plus

About US Tech Solutions:

US Tech Solutions is a global staff augmentation firm providing a wide range of talent on-demand and total workforce solutions. To know more about US Tech Solutions, please visit www.ustechsolutions.com (http://www.ustechsolutionsinc.com/) .

US Tech Solutions is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, colour, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

USTech Solutions | Contingent Talent Solutions

IC compliance services ensure you classify independent contractors (ICs) correctly to avoid legal and financial risks. We handle the paperwork, audits, and legalities, so you can focus on building your team with the best talent. Ensure accurate IC worker classification We manage contracts, tax forms, and other IC documentation We prepare you for potential audits and mitigate risks

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