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Senior Equity Compliance Analyst : 1000032683 Job Details

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Senior Equity Compliance Analyst : 1000032683 (Ref: 1000032683)
Sector, Sub Sector: Other
Compliance Type: Regulatory/Compliance
Expertise: -
Company: Bank of America
Location: New York , New York Americas, United States
Employment Type: Permanent
Job Description:


Applies knowledge and expertise of Market Surveillance/Monitoring programs, industry practices within the business group. Independently conducts assigned responsibilities within the context of the business unit compliance program. May manage other associates.



The Senior Equity Compliance Analyst will be responsible for:

  • Monitors for adherence with Trading and Sales regulatory rules.
  • Ongoing verbal and written communication with business and support groups.
  • Designing, developing and testing of monitoring reports.
  • Understanding broker/dealer regulatory rules.
  • Analyzing, problem solving and decision making

Qualifications



Required Skills:

Good writing and verbal skills. Basic Microsoft Word and Excel knowledge.



Desired Skills:

Knowledge and understanding of regulatory rules and regulations governing the broker/dealer industry.


Job Ref No: 1000032683