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Compliance/Operations Analyst

https://www.roberthalf.com Logo

Robert Half

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Location:
United States , New York

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Category:

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Contract Type:
Not provided

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Salary:

Not provided

Job Description:

We are looking for a Compliance/Operations Analyst to join our team in New York, New York. In this role, you will play a vital part in ensuring adherence to regulatory standards and operational excellence within a dynamic financial services environment. The ideal candidate will have a strong understanding of compliance processes and a keen eye for detail.

Job Responsibility:

  • Review and process new account documentation
  • Ensure completeness and regulatory accuracy of client files
  • Follow up on missing documentation
  • Maintain organized electronic records
  • Perform KYC, CIP, and AML documentation checks
  • Conduct TRACE trade reporting reviews and reconciliations
  • Assist with internal and external audit preparation
  • Escalate potential compliance concerns appropriately
  • Support periodic credit review processes
  • Gather and analyze required credit documentation
  • Ensure alignment with internal policies and regulatory requirements
  • Track workflow deadlines and maintain process integrity
  • Update internal systems accurately and consistently
  • Communicate effectively with internal stakeholders

Requirements:

  • Bachelor’s degree in Accounting, Finance, or a related field
  • At least 6 months of experience in accounting, auditing, compliance, or financial services operations
  • Experience from a Broker Dealer or the broader financial services industry
What we offer:
  • medical
  • vision
  • dental
  • life and disability insurance
  • 401(k) plan

Additional Information:

Job Posted:
March 13, 2026

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