Senior Compliance Analyst, Capital Markets| Los Angeles, USA
US financial firm focusing on capital markets advisory is currently seeking an experienced Compliance Analyst to join its Los Angeles office.
Due to growth in the business there is an urgent need for compliance professional with extensive knowledge of FINRA and SEC regulations.
Responsibilities:
- Perform reviews of Capital Markets supervisory process to ensure compliance
- Act as liaison for the business to regulators.
- Ensure Capital Markets management and personnel are conforming to current rules and regulations
- Knowledge of the current regulatory environments and ability to implement this knowledge to ensure the Firm conducting business ethically and in compliance with all regulatory rules
- Review various disclosure reports created for Capital Markets for accuracy and compliance
- Conduct various reviews of trading activity to ensure compliance with regulatory rules
- Complete supervisory reviews of multiple Capital Markets activities ensuring supervision is being conducted
- Compile data and information from Capital Markets managers to formulate a comprehensive response to regulatory inquiries.
- Travel comprises a small (0-5%) percentage of duties.
Experience and Skills
- Strong academic background with at least a Bachelor's Degree
- Knowledge, understanding and experience with FINRA and SEC regulations
- Must have Series 7 and 24 Licenses
- Experience with Capital Markets processes and procedures
- Strong communication skills, ability to liaise with various stakeholders.
- Must be extremely organized and have the ability to handle numerous projects concurrently
Although preferable, we do not require a CV, please feel free to get in touch regarding this role to talk to a member of the team to discuss this role. For more current openings with our clients, please see www.g-q-r.com/vacancies
We welcome speculative and tentative applications roles and others of a similar nature that we may have available on our books.
Applying: jobs@gqrgm.com
Contact: James Friend on +44 (0) 203 141 8000
VISIT US | www.g-q-r.com/vacancies
While a resume is preferable we also welcome tentative enquiries from well-qualified persons. To speak with an agent please contact one of our regional offices using the contact details listed below. Utmost confidentiality and discretion is assured.
LOS ANGELES | 1.310.807.5025
10877 Wilshire Boulevard, Los Angeles, CA 90024 | Office Hours: 6.00-21.00 PDT
NEW YORK | 1.212.763.8333
1325 Sixth Avenue, New York, NY 10173 | Office Hours: 9.00-21.00 EDT
LONDON | 0203.141.8000
Westminster Tower, London, SE1 7SP | Office Hours: 8.00-20.00 GMT
HONG KONG | 852.3678.6738
2 Exchange Square, 8 Connaught Place, Central | Office Hours: 9.00-21.00 HKT
VISIT US | www.g-q-r.com | www.g-t-r.com | www.gqrgm.com
GQR Global Markets
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