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Partnership Employment · 14 hours ago

Compliance Analyst

NYC Metro Area

Contract

Hybrid

New Grad, Entry Level

Partnership Employment is seeking a Compliance Analyst to support the compliance team in overseeing governance and implementation of company policies and procedures. The role involves conducting surveillance of potential violations and assisting with regulatory requests and audits.

ConsultingHuman ResourcesStaffing Agency

Hiring Manager

Steven Cebel

Responsibilities

Support the compliance team in overseeing governance and implementation of companies policies and procedures, written supervisory procedures, and related documentation

Support the compliance team in responding to NFA, CFTC, Exchange, internal and other external exams, audits, reports and regulatory requests

Conduct surveillance of potential violations of Exchange rules and CFTC prohibited trading practices by assessing order and trading activity alerts

Assist Operations in the implementation and monitoring of surveillance systems alert rules

Assist with the creation, development, and review of surveillance rules, alerts and procedures

Identify and investigate regulatory issues that arise from customer activity

Qualification

Compliance oversightRegulatory reportingSurveillance systemsTrading activity assessmentRegulatory issue investigationPolicy implementationAudit supportDocumentation review

Required

Support the compliance team in overseeing governance and implementation of companies policies and procedures, written supervisory procedures, and related documentation

Support the compliance team in responding to NFA, CFTC, Exchange, internal and other external exams, audits, reports and regulatory requests

Conduct surveillance of potential violations of Exchange rules and CFTC prohibited trading practices by assessing order and trading activity alerts

Assist Operations in the implementation and monitoring of surveillance systems alert rules

Assist with the creation, development, and review of surveillance rules, alerts and procedures

Identify and investigate regulatory issues that arise from customer activity

Company

Partnership Employment

Partnership Employment is a staffing and recruiting company offering staffing and executive search services.

Founded in 2002

Chicago, Illinois, USA

11-50 employees

http://partnershipemployment.com

Funding

Current Stage

Early Stage

Leadership Team

David Lutz

Managing Partner

Joseph Kelly

Managing Partner

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