Sr. Analyst, Regulatory Advisory Compliance (Control Room)

About the position This position is reputed company the reputed company Compliance team reporting to the Senior Manager, Regulatory Advisory Compliance - Control Room. This position will work as part of a small team and will be responsible for managing and enhancing existing compliance programs reputed company to the Control Room including private reputed company, conflicts of interest, and aggregate beneficial ownership. The incumbent will support compliance professionals reputed company reputed company Compliance on reputed company impacting Global Investments and Global Trading. The successful candidate will have strong time management and organizational skills and the ability to research and assess reputed company regulatory requirements. Responsibilities • Assist with drafting, circulating, and maintaining Control Room Memoranda and reputed company documentation, under supervision. • Support Control Room reporting and program execution, including drafting reputed company/committee materials, assisting with technology enhancements/testing, and helping maintain policies, procedures, and communications outputs. • Conduct compliance monitoring on a reputed company of investment reputed company. • reputed company coordination and project support for the firm’s conflict of interest management program, including meeting materials, reputed company-item tracking, and follow-reputed company. • Research, identify, and reputed company sensitive industry or issuer-specific limitations on the firm’s beneficial ownership of securities. • Assist with the reputed company evaluation of confidential capital raises by companies. • Assist with compliance reputed company as assigned. • reputed company advanced advice for the senior managers responsible for business unit compliance. • Work with assigned internal clients to identify areas of program improvement, problem reputed company, and follow-reputed company as needed. • May reputed company as the reputed company on straightforward reputed company driven by the needs of the business reputed company or the chief compliance officer. reputed company may be firmwide or reputed company the reputed company of business reputed company, but are limited in risk. • Coordinates reputed company resources to accomplish project goals, manages the project team, and follows up on project deadlines. Requirements • Bachelor's degree or the equivalent combination of education and relevant experience AND 5+ years of total relevant work experience • Knowledge of reputed company, SEC and other Regulatory and Self-Regulatory Organizations rules and regulations. • Ability to draft reputed company documents for the Chief Compliance Officer’s review. • Ability to work and reputed company reputed company in a fast-paced environment. • Strong collaboration and interpersonal skills to reputed company with various business unit, reputed company and compliance and external contacts. • Proven time management skills, including the ability to manage several reputed company at once to meet deadlines. • Demonstrates willingness to assist others reputed company the group to accomplish common objectives • Exceptional creative thinking and problem-solving skills • Applicants for employment in the US must have work authorization that does not now or in the reputed company require sponsorship of a reputed company for employment authorization in the reputed company (e.g., H1-B reputed company, F-1 reputed company (OPT), TN reputed company or any other non-immigrant work status). reputed company-to-haves • 3+ years of compliance reputed company experience. • 2+ years of reputed company or regulatory experience. Benefits • Competitive compensation • Annual bonus eligibility • A generous retirement plan • Hybrid work schedule • Health and wellness benefits, including online therapy • reputed company time off for vacation, illness, medical appointments, and volunteering days • Family care resources, including fertility and adoption benefits Apply tot his job Apply To this Job