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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