Compliance Analyst - (US-NY-New York)

Compliance Analyst - (US-NY-New York)

Compensation: $40.00 - $45.00 / Hour
Minimum Education: Bachelors
Job Type: Contract
Jobcode: KSSJA1

Candidates should have at least 5-10 years experience in general broker dealer related compliance matters such as: 

• AML/KYC 
• Surveillance monitoring of transactions and communications 
• TRACE reporting 
• Rule 144A/QIB allocations 
• Employee Trading 
• Registrations - Form BD, U-4 and U-5 
• Tracking the CE requirements 
• Developing Compliance Manual and the Written Supervisory Procedures 
• Review of Supervisory Control Procedures 
• Interaction with the Front Office 



Educational/Certification Requirements (Preferred/Required): 

College Degree 

Please quote your best rate and email a resume in Word that makes it obvious how you match the specification 

Email resume in Word to TheBigGameHunter@cisny.com. Please include the job code for the position with your resume. 

NO RELOCATION. NO VISA TRANSFERS. NO OVERSEAS RESUMES. NO 3RD PARTIES. 

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