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.
 
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, or disability status. BTIG is an equal opportunity employer Minorities/Females/People with Disabilities/Protected Veterans/Sexual Orientation/Gender Identity.

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.