Compliance Analyst 3


Adecco is currently assisting a local client in their search to fill a Compliance Analyst 3, role in New York, NY. If you would like to pursue a great opportunity and enjoy working for a fast paced company, then Apply Now if you meet the qualifications listed below!


***Applicants must be currently authorized to work in the United States on a full-time basis. This employer will not sponsor applicants with the following work visas:
H1B, H2B, E3, TN1***


please feel free to reach out to: Patrick Higgins at patrick.higgins@adeccona.com




Title: Compliance Analyst 3
Pay: $43.00 Hourly
Duration:12 months
Location: New York, NY



Job Description & Key Responsibilities:

RESPONSIBILITIES:
• Provide guidance to research, investment banking, capital markets and other compliance personnel relating to Information Barriers and applicable laws and Bank policies.
• Maintain the Watch and Restricted Lists (i.e., obtaining timely updates from Investment Banking and Capital Markets personnel).
• Review cross-divisional conflicts submissions working with other keystakeholders including Investment Banking & Capital Markets and Legal.
• Advise on Compliance issues, coordinate escalations; produces metrics for various stakeholders.
• Development and implementation of Bank policies and prodecures relating to Information Barriers.
• Review of research publications to identify potential conflicts of interest and taking into account applicable laws and Bank policies regarding dissemination of research.
• Review and implement Over the Wall requests.
• Advise Sales and Trading on the implementation and execution of Restricted List Trade.
• Pre-clear Firm and Employee Personal Account Transactions.
• Assist in maintaining and updating compliance manuals, policies and procedures.
• Assist in preparing and and presenting Compliance training programs.
• Development, testing and implementation of the Control Room Systems.
• Manage multiple, deadline-oriented tasks in a fast-paced environment.


A basic understanding of the rules and regulations relevant to the operation of a Control Room for an investment bank OR experience working for a Self-Regulatory Organization or other regulator (e.g. SEC).
• An ideal candidate will have 3-5 years compliance experience.
• BA\BS required.
• Series 7 a plus.
• Knowledge of securities laws including SEC Rules 137, 138, 139, 144A, Reg M and FINRA Rules 2241 & 2242, JOBS Act, Global Research Settlement.
• Ability to handle confidential information and matters with discretion.
• Flexibility and experience to manage multiple, high priority tasks and adjust to shifting priorities, while meeting deadlines.
• Extremely detailed oriented, with strong follow-up.
• For projects ability to work independently and interact with all levels of management in a professional and positive manner.
• Strong interpersonal, communication and presentation skills.
• Strong analytical and process management skills.
• Proficiency in Microsoft Office products (Word, Excel, Outlook & PowerPoint) The ability to quickly learn other computer applications.






How to Apply: Click on “Apply Now” to be considered for this position or any other opportunities with Adecco.

IMPORTANT: This position is being recruited for by Adecco’s National Recruitment Center, not your local Adecco Branch Office. To be considered for this position, you must use the “apply now” button to submit your resume.

If you have any questions surrounding the application process, please feel free to reach out to: Patrick Higgins at
patrick.higgins@adeccona.com


The Adecco Group is a global leader in HR services. Our group connects over 700,000 associates with our business clients each day through our 6,600 offices in over 70 countries and territories around the world. We offer employment opportunities at any stage in your professional career. Contact us today to discuss available contract and direct hire positions. Adecco Group provides one of the most comprehensive benefits packages in the industry to contract workers to include Holiday, 401(k), Insurance Benefit Plans and Service/Anniversary Bonus opportunities.

Equal Opportunity Employer Minorities/Women/Veterans/Disabled


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