EXTERNAL CLIENT ROLE
Madison-Davis client is seeking a Compliance Analyst to provide compliance support for their firm. Reporting to the Executive Director of Compliance, the Compliance Analyst will help ensure the firm is compliant with external rules and regulations, as well as internal controls and policies. The ideal candidate should be eager to establish a career in Compliance and be comfortable working in a fast-paced, high-volume environment. S/he should have a problem-solving, analytical and detailed approach to completing work, solid multi-tasking abilities, and strong follow-up and escalation skills. The ability to operate independently, display sound judgement, recognize the sensitivity of confidential information, and maintain professionalism will be critical for success.
This role is anticipated to be fully-remote until mid-2021.
• Perform extensive daily monitoring of communications, generally in large volumes. Exercise sound judgment and follow protocol to determine whether alerts are potential policy violations or benign, and document in the system accordingly
• Make recommendations to constantly improve the quality of the monitoring program by assessing the effectiveness of the lexicon and other techniques that are utilized;
• Take ownership of all ongoing compliance review processes and requirements related to customer complaints, registration fillings (U4, U5, BD, etc.);
• Assisting with the filing of various SEC, CFTC and foreign regulatory filings and,
• Working with compliance regarding firm wide compliance issues and projects; and special compliance projects as necessary.
• Bachelor’s degree required
• 1-3 years of related professional experience
• Investment Banking and/or Financial Services experience preferred
• Experience with MS Office
• Fast learner with the ability to work in a fast‐paced, high-volume, constantly evolving environment
• Extremely organized and detail‐oriented
• Self-starter with the ability to work independently, balanced with the knowledge and judgement to escalate as necessary
• Outstanding verbal and written communication skills