Overview
Compliance Analyst Jobs in New York City Metropolitan Area at Insight Global
Title: Compliance Analyst
Company: Insight Global
Location: New York City Metropolitan Area
Required Skills & Experience
– 2+ years of experience within compliance testing
– Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator. Proficient within Excel – pivot tables, v lookups, etc
– Broad knowledge of financial products, markets, and laws and regulations such as FINRA and SEC rules, and the Investment Company Act of 1940
– Strong interview, presentation, written and verbal communications, time management and analytical skills
Nice to Have Skills & Experience
– Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications)
– Fluency in French, Spanish, German, Japanese, Korean, or Mandarin Chinese
Job Description
One of Insight Global’s top clients within the Investment Banking Industry is seeking a Compliance Testing Analyst to sit 5 days a week onsite in NYC. This person will sit within the compliance team, contributing to the overall regulations and adherence to firm policies. This team is responsible for collaborating with compliance and business management to improve processes, proposing and executing testing methods, gathering data, analyzing results, and documenting findings. The compliance testing analyst will identify and escalate potential compliance, conduct, and reputational risks. The ideal candidate will have a background in audit, compliance testing, or regulatory work, and be passionate about investigative work with knowledge in wealth, asset, or portfolio management, and/or risk management. The candidate should be comfortable managing multiple projects and interacting with senior business stakeholders and engineers. This is a great opportunity for someone who enjoys investigative work and has a strong understanding of financial regulations and risk management.
