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Aquarian Holdings · 3 days ago
Compliance Analyst
New York, United States
Full-time
Onsite
Entry Level
1+ years exp
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Responsibilities
Support Chief Compliance Officer and Director of Compliance in administering firm’s compliance program
Provide Code of Ethics training to new hires and facilitate new hire onboarding in compliance systems
Manage employee brokerage statement reviews and broker feeds
Manage employee pre-clearances relating to Firm Code of Ethics utilizing compliance software
Assist with regulatory filings, including Form ADV, Form PF
Coordinate firm’s compliance certification program
Help with preparation, delivery, and tracking of relevant compliance trainings
Assist with 206(4)-7 annual review
Maintain firm’s compliance books & records
Assist in conducting and documenting third-party diligence
Provide support for regulatory examinations
Undertake ad-hoc compliance-related projects, as assigned
Qualification
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Required
Bachelor's degree required
1-2 years of work experience in compliance, preferably in a financial institution or bank
Company
Aquarian Holdings
Aquarian Holdings is a holding company with interests in businesses including insurance, asset management, real estate, and technology.
11-50 employees
Funding
Current Stage
Early StageTotal Funding
unknown2020-08-01Private Equity· Undisclosed
Leadership Team
Rudy Sahay
Founder, Managing Partner
Recent News
GlobeNewswire News Room
2023-10-16
2022-06-13
Company data provided by crunchbase
