A prominent firm in the investment banking and capital markets sector is looking for a Compliance Associate to join the team. This position will perform monitoring and testing responsibilities across the firm, gaining exposure to a variety of business lines.

As part of this critical function, you will:

• Devise, implement, execute monitoring/ testing programs
• Complete risk assessments & conduct targeted business reviews
• Perform branch office inspections for policy adherence

The ideal candidate possesses:

• Bachelor's degree from accredited university
• 2+ years' relevant professional exposure working closely with regulators or financial institutions like broker-dealers
• Strong familiarity with laws/regulations affecting broker-dealers particularly within investment banking sectors
• Hands-on experience conducting risk evaluations using surveillance systems.
• Data analysis skills capable of transforming datasets into actionable metrics (data analytics knowledge is beneficial, particularly using Excel)