Capco · 6 hours ago
Junior Analyst – Compliance and Operations
US - Orlando
Full-time
Onsite
New Grad, Entry Level
0+ years expCapco is a leading consultancy in financial services, focusing on transformative solutions for clients. The Junior Analyst will be responsible for compliance and operations monitoring, ensuring adherence to federal and state laws, and engaging with internal control teams for regulatory reporting.
ConsultingFinanceFinancial ServicesInsurance
Responsibilities
Review of trade surveillance alerts and escalate issues, where appropriate, to relevant stakeholders for investigation and resolution
Review, process and investigate personal account dealing and outside business affiliations/activities
Maintain periodic (daily/weekly/monthly/quarterly) watch/restricted list reports
Perform regulatory required periodic compliance testing
Process FINRA related registration and exam requirements
Maintain daily management and status reports
Perform ongoing review of policies and procedures for period updates
Develop procedures for new activities or functions
Qualification
Required
0-1 year of professional experience
Excellent written, communication, and presentation skills
Ability to interact and work closely with business stakeholders at all levels of seniority
Possess strong analytical thinking and critical reasoning skills
Ability to work effectively in a team environment
Ability to effectively handle a fast-paced environment and successfully meet established deadline requirements
Preferred
Associate or bachelor's degree preferred
ACAMS and/or SIE certification a plus
Benefits
Medical, dental and vision insurance
A 401(k) plan
Tuition reimbursement
Company
Capco
Capco is a technology and management consulting firm that provides consulting for the financial services and energy industries.
5001-10000 employees
Funding
Current Stage
Late StageTotal Funding
$80MKey Investors
Thomas Weisel Partners
2021-03-04Acquired
2000-05-24Private Equity· $80M
Leadership Team
Anne-Marie Rowland
Chief Executive Officer
Andrew McGinn
Partner - Digital, Data & Technology
Recent News
Company data provided by crunchbase