Our client, a well-known Financial Services firm in New York, is looking for a Trade Compliance Analyst to join its team.
Responsibilities
- Oversee all aspects of trade restrictions, including trade approvals and ongoing maintenance of the restricted list.
- Coordinate internal information flows across business units to ensure proper compliance protocols are followed.
- Manage sensitive and confidential information, including communication with external counterparties.
- Conduct trade surveillance to identify potential risks or regulatory issues.
- Collaborate with the compliance team on regulatory matters and adherence to internal policies.
Qualifications
- Seeking a compliance professional with 2–3 years of experience in a credit-focused asset management environment.
- Prior experience in a trading business with responsibility for maintaining a restricted list is required.
- Experience conducting MNPI (material non-public information) analysis is also expected.
