Related skills
databricks aml finra regulatory compliance nasdaq smarts📋 Description
- Assist SEC/FINRA/state regulatory inquiries and examinations.
- Gather, review, and synthesize requested documentation.
- Draft clear, fact-based regulatory responses reflecting policies and data.
- Coordinate with Finance on Net Capital, Customer Protection, margins, and FOCUS.
- Analyze data for AML/BSA-related inquiries.
- Prepare data-driven investigations using Nasdaq SMARTS and Databricks.
🎯 Requirements
- 2-3 years direct broker-dealer compliance or regulatory examination experience.
- Knowledge of FinOp, Sales Practice, and Market Regulations.
- Ability to analyze large data sets, trade blotters, and ledgers.
- Exceptional writing and verbal communication skills.
- Ability to manage multiple strict regulatory deadlines.
- Bachelor's degree in Finance, Accounting, Economics, or related field.
🎁 Benefits
- Hybrid role; NYC/Chicago office 4 days/week.
- Competitive compensation, equity, 401(k) match.
- Health insurance and wellness reimbursement.
- Company-provided phone and personal development allowance.
- Generous PTO, holidays, and extended leave.
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