Analyst - Compliance - Banking/Financial Services

WHAT YOU WILL DO DAY-TO-DAY:

You will exercise sound judgment in reviewing pre-clearance requests, brokerage disclosures, and restricted list activity, identifying risk patterns and advising stakeholders on appropriate actions.

You will lead complex investigations into potential policy breaches, partnering with Legal, Compliance, HR, and business leadership to ensure timely resolution.

You will also enhance the Code of Ethics monitoring program by refining frameworks, strengthening policies, and leveraging data-driven insights to support effective governance.

You will assist in filing regulatory obligations which require complex quantitative and qualitative analysis of the firm's data.

You will work on long-term projects with development and analytics teams to maintain the firm's high standards of compliance.

WHO WE ARE LOOKING FOR:

- A degree in Master of Business Administration along with 1 - 4 years of work experience in the financial services industry

- An understanding of securities regulations, Code of Ethics framework and financial instruments

Preferred qualifications:

- Technical skills such as Python, Power Query, Power BI, or similar tools