Compliance Analyst

Job Description

About the Position

The Legal and Compliance team is searching for candidates to fulfill a variety of day to day tasks for the group and to assist with ad-hoc projects as needed. You should be an enthusiastic self-starter who is willing to get involved and who enjoys working in an intense and fast-paced work environment.


  • Perform a key role in implementing the firm's personal account trading policy, including reviewing brokerage statements, processing account opening paperwork and maintaining compliance records.
  • Review legal and compliance documentation.
  • Assist with some daily surveillance processes and ongoing control procedures.
  • Facilitating and project management for collection of data for various projects, including exchange memberships, account openings, audits, tax requirements and client due diligence requests.
  • Assist with AML onboarding and other tasks driven by AML/KYC rules and regulations.

About You

  • Bachelor’s degree
  • Compliance experienced preferred
  • Must be proactive and self-motivated with strong organizational, interpersonal and communication skills
  • Ability to handle competing priorities and to work effectively in a challenging, fast-paced environment
  • Reliable, courteous and flexible team player
  • Maintain highest levels of internal and external confidentiality
  • Excellent computer skills required: MS Word, Excel, and Internet