Compliance Officer, Analyst

Job Purpose:

BTIG seeks a motivated and detail-oriented Compliance Analyst to join our Compliance team. This entry-level role is critical in supporting the firm’s Compliance program, ensuring that BTIG is adherence with the rules and regulations of the SEC, FINRA as well as Firm policies. The ideal candidate is organized, adaptable, eager to learn, and should be a team player.

Duties & Responsibilities:

Provide administrative support to the Compliance team as needed.

Review of Employee Personal Trade Preclearance Requests

Process background check on request for Account coverage

Review/Audit of Employee’s Electronic Communications

FINCEN review

Responsible for tracking and reviewing Of Non-direct feed Employee Account Statements

Prime and DMA Documentation audit

Adhoc internal audits as needed

Requirements & Qualifications:

Bachelor’s degree is preferred.

0–2 years of related experience.

Excellent written, verbal, visual, and interpersonal communication skills

Strong attention to detail and organizational abilities

Collaborative, professional, and positive attitude

Ability to adapt and prioritize in a fast-paced environment

Curious and open to learning about emerging trends, new rules and regulations and technologies. We are happy to train you!

Discretion and professionalism when working with confidential information

Commitment to maintaining BTIG's high ethical standards and brand reputation

Familiarity with Microsoft Office (Word, PowerPoint, Outlook); advanced proficiency in PowerPoint, Excel charts, are highly preferred

Important Notes:

Must be authorized to work full time in the U.S., BTIG does not offer sponsorship for work visas of any type

No phone calls please, the applicant will be contacted within two weeks if successful

About BTIG:

BTIG is a global financial services firm specializing in institutional trading, investment banking, research and related brokerage services. With an extensive global footprint and more than 700 employees, BTIG, LLC and its affiliates operate out of 20 cities throughout the U.S., and in Europe, Asia and Australia. BTIG offers execution, expertise and insights for equities, equity derivatives, ETFs and fixed income, currency and commodities. The firm’s core capabilities include global execution, portfolio, electronic and outsource trading, investment banking, prime brokerage, capital introduction, corporate access, research and strategy, commission management and more.

Compensation:

BTIG offers a competitive compensation and benefits package. Salary range is based on a variety of factors including, but not limited to, location, years of applicable experience, skills, qualifications, licensure and certifications, and other business and organization needs.

The current estimated base salary range for this role is $60,000.00 - $75,000.00 per year. Please note that certain positions are eligible for additional forms of compensation such as discretionary bonus or overtime.

Disclaimer: https://www.btig.com/disclaimer.aspx.