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Compliance Analyst

Company: DASH Financial Technologies
Location: Jersey City
Posted on: September 21, 2022

Job Description:

The Compliance Analyst specializes in overseeing the firm's activities to ensure they are in compliance with regulatory and ethical standards. Essential Functions Work proactively to ensure all the Firm's trading activity is in accordance with exchange and FINRA rules. Identify potential problems & suggest solutionsDesign and implement periodic testing, preventive and detective controls, policies, and procedures to monitor compliance with regulationPrepares reports by collecting, analyzing and summarizing information.Assist with on-site regulatory examinations and ad-hoc inquiries. 5.Review reports sent to clients and regulators, ensuring all required regulatory filings are completed on a timely basis and updated as necessary Ensure all required books and records and properly maintained pursuant to regulatory requirements.Report to and work closely with the firm's CCO to address issues, problems, and sales practice. Other tasks as assigned. Required Education and Experience2+ years of Compliance experience with a Broker-Dealer or an Investment Adviser / Broker-Dealer, Compliance Consulting firm, or Bank.Basic knowledge of Python and SQLProficient in ExcelBachelor's Degree in a related field.Experience identifying compliance issues and operational risk concepts.Familiarity with SEC rules, FINRA rules, and U.S. equity and options exchange rules.Preferred Education and ExperienceStrong written and verbal communication skills, a can-do-attitude, enthusiasm, and a strong aptitude for learning.The ability to effectively prioritize workloads and complete tasks within well-defined guidelines and time constraints is essential.Organizational skills and attention to detail are critical given the nature of paperwork, processes, and work, upon which both clients and the Firm depend.This person is an intelligent, analytical thinker with the ability to draw on a range of resources to ensure a high-quality outcome across the position responsibilitiesKnowledge of FINRA/SEC compliance and/or supervisory proceduresSeries 7 registration.Ability to collaborate and interact with multiple business structures and the temperament and skill to manage different types of personalitiesAbility to handle competing priorities, be self-directed and able to manage workload and make decisionsTeamwork, excellent communication, and analytical skills are essentialProficient in Word, Excel, Outlook, and PowerPointRegulatory experienceCompetenciesExcellent research and analytical skillsCommunicativenessProblem solving & decision makingCritical thinking and problem-solving skillsData analytics skillsIndustry knowledgeResults orientationAbout DashDash Financial Technologies is a leading trading technology provider to the institutional trading community. With a suite of highly customizable tools, Dash designs and delivers intelligent, high performance solutions in four product categories: Trading Technologies, Execution Services, Analytics and Regulatory Technologies. With a relentless focus on transparency, performance and customization, Dash Financial Technologies caters to institutions that require increasingly specialized, complex, and adaptable tools to exceed their goals surrounding best executionMission Statement Dash was launched in 2011 with the mission to create elegant, high performance technology solutions for the capital markets community. Founded on a philosophy of transparency, performance, and service we strive to execute our goals with focus and passion, while fostering a culture of education, innovation, and craftsmanship.Position Type/Expected Hours of Work This is a full-time position. Standard days and hours of work areMonday through Friday, 9:00 a.m. to 6:00 p.m.AAP/EEO Statement Dash Financial Technologies provides equal employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability, or genetics. In addition to federal law requirements, Dash Financial Technologies complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation, and training.Dash Financial Technologies expressly prohibits any form of workplace harassment based on race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, genetic information, disability, or veteran status. Improper interference with the ability of Dash Financial Technologies employees to perform their job duties may result in discipline up to and including discharge.Other Duties Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.

Keywords: DASH Financial Technologies, Jersey City , Compliance Analyst, Professions , Jersey City, New Jersey

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