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BTIGNew York City, NYGraduate
Compliance Officer, Analyst
Entry-level Compliance Analyst role at BTIG in New York supporting SEC, FINRA, and firm policy adherence. Ideal for organized, adaptable candidates eager to learn compliance processes.
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Responsibilities
- Provide administrative support to the Compliance team.
- Review Employee Personal Trade Preclearance Requests.
- Process background checks for account coverage requests.
- Audit Employee Electronic Communications and FINCEN reviews.
- Track and review non-direct feed Employee Account Statements.
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Requirements
- Bachelor's degree preferred.
- 0-2 years related experience.
- Excellent communication skills: written, verbal, visual, interpersonal.
- Strong attention to detail and organizational skills.
- Collaborative, professional, positive attitude.
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Additional Qualifications
- Curious and open to learning new rules, trends, and technologies; training provided.
- Discretion and professionalism with confidential information.
- Commitment to BTIG's ethical standards and brand reputation.
- Familiarity with Microsoft Office; advanced PowerPoint and Excel skills preferred.
- Must be authorized to work full-time in the U.S.; no visa sponsorship.
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Compensation
- Estimated base salary range: $60,000 - $75,000 per year.
- Eligible for discretionary bonuses or overtime.
- Competitive benefits package offered.