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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