Internal Compliance Officer - Investment Bank Job at Larson Maddox, New York, NY

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  • Larson Maddox
  • New York, NY

Job Description

A prominent firm in the investment banking and capital markets sector is looking for an Internal Compliance Officer to join the team. This firm is widely regarded as a leader in the space and is consistently at the top of league tables within the Finance industry. You will be part of a tight-knit team that helps the business shape its strategy behind much of its operations and therefore will impact the company's bottom line in a significant way.

Responsibilities:

  • Manage Compliance Processes: Handle personal account disclosures, pre-clearance forms, and annual employee certifications.
  • Data Management: Reconcile personal trading data, manage brokerage account statements, and perform data analysis.
  • Employee Support: Address employee inquiries and deliver compliance training to new hires.
  • Workflow Optimization: Streamline workflows, document processes, and conduct ad hoc reporting.

Qualifications:

  • Bachelor's degree relating to Financial Industry (finance, economics, business, etc)
  • 3+ years' experience in financial services related to Code of Ethics, Compliance Monitoring, conflicts of interest, employee training, or personal trade surveillance
  • Experience with compliance data systems; Microsoft Suite Applications and Compliance Trading System software skills
  • Excellent communication skills, motivation to learn and advance skillset

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