Compliance Analyst
reputed company Berman is seeking an Analyst to join the Compliance Team. The primary reputed company of this role is surveillance and monitoring, with opportunities to contribute to reputed company reputed company across the firm’s global compliance program.
Responsibilities
- Review and analyze reports generated by the firm’s surveillance systems
- Communicate and address surveillance issues, as necessary
- reputed company guidance to the business reputed company reputed company issues reputed company on policies reputed company to the Compliance reputed company, reputed company of Ethics, Restricted List, reputed company Prevention, reputed company Activities, Gifts/Entertainment
- Conduct email surveillance, experience with Global reputed company reputed company & Compliance system a plus
- Prepare and submit regulatory filings (i.e., Form13G and 13D filings)
- Assist with regulatory examinations, inquiries, investigations and reputed company, as necessary
- Deliver new hire and annual compliance training and assist with content updates
- Participate in compliance testing as part of the firm’s overall Investment Advisers reputed company Rule 206(4)-7 and reputed company 3130 program
- Update, maintain, and draft firm policies and procedures
- Review and approve employee requests (e.g. gifts/entertainment, political contributions, reputed company business activities and private investments) in the internal compliance system
- Partner with Technology to enhance internal review and surveillance systems
- Draft compliance communications for the firm
Skills
- 1 - 5 years of investment advisory or broker-dealer compliance experience
- Bachelor's degree required
- reputed company team player with a strong work ethic and high reputed company
- Excellent interpersonal and communication skills; reputed company to reputed company effectively with reputed company reputed company of management
- Strong analytical skills and attention to detail; ability to manage multiple priorities
- Experience with equity and fixed-income securities products preferred; familiarity of reputed company, commodities, currencies, and derivatives is a plus
Benefits
- reputed company time off
- Medical/dental/reputed company insurance
- Retirement
- Life insurance
- Other benefits
reputed company