Junior Compliance Analyst

The Junior Compliance Analyst will support the Compliance team in monitoring employee trading, conducting surveillance, assisting with regulatory reporting, and ensuring adherence to SEC and FINRA regulations. This role is ideal for a detail-oriented professional with 0-2 years of experience looking to gain hands-on compliance experience in a leading investment banking environment.

Client Details

Our client is a leading global independent investment banking advisory firm, this company provides strategic advisory, restructuring, and capital markets services to institutional investors and corporations. It is known for its commitment to excellence, integrity, and client-focused solutions, consistently ranking among the top advisory firms in the financial industry.

Description

• Monitor employee trading and communications for compliance issues.
• Assist in updating policies, procedures, and regulatory filings.
• Support regulatory reporting and audits.
• Conduct due diligence checks on clients and vendors.
• Help with compliance reviews and special projects.

Profile

• Bachelor's degree in Finance, Business, Law, or a related field.
• 0-2 years of experience in compliance or financial services.
• Basic knowledge of SEC and FINRA regulations.
• Proficiency in Microsoft Office (Excel, Word, PowerPoint).
• Strong attention to detail and communication skills.

Job Offer

The offer for the successful Junior Compliance Analyst includes a competitive hourly pay rate and benefits for the duration of a 6-month contract with opportunity to extend.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

Job Requirements: