Business Controls Analyst at Hired by Matrix
New York, NY
About the Job
Pay Rate: -40.00 $/Hour
At-a-Glance:
Are you ready to build your career by joining an innovative advisory services organization? If so, our client is hiring a Business Controls Analyst.
Position Type: Contract
Remote
Required: Knowledge of broker-dealer related SEC and Client rules.
A strong understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects.
Trading floor experience (trade support, controls/compliance).
Series 7, 55, 63, 24, 4 preferred.
Ability to review and analyze supervisory trade surveillance reports.
Understanding of trading systems, Client CAT, Client Gateway.
Excellent research and analytical skills.
Excellent written and verbal communication skills.
Self-starter, flexible, innovative and adaptive.
Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization.
Ability to navigate a complex organization by working collaboratively with regional and global partners in other functional units.
Willingness to work in a fast paced environment with a positive attitude.
Proficiency in MS Office applications (Excel, Word, PowerPoint).
Bachelor’s degree; experience in a financial services firm, regulatory organization, or a combination thereof
Responsibilities: Analyze trading activity.
Perform, develop, and maintain surveillance reviews.
Identify potential risks and escalate the matter to a designated manager.
Generate ad-hoc reports, perform data analysis, and provide direction to business unit personnel, where appropriate.
Support aspects of planning and executing projects to assist in complying with regulatory requirements.
Appropriately assess and escalate risk when business decisions are made, demonstrating particular consideration to safeguarding clients, reputation, and regulatory footprint.
Participate in ad-hoc requests, special projects and regulatory exams directed by management, compliance or legal departments.
Get in Touch:
If you think you'd be a good match, submit your resume and reach out to Sachin at
#LI-SG1
#HbM6349
At-a-Glance:
Are you ready to build your career by joining an innovative advisory services organization? If so, our client is hiring a Business Controls Analyst.
Position Type: Contract
Remote
Required: Knowledge of broker-dealer related SEC and Client rules.
A strong understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects.
Trading floor experience (trade support, controls/compliance).
Series 7, 55, 63, 24, 4 preferred.
Ability to review and analyze supervisory trade surveillance reports.
Understanding of trading systems, Client CAT, Client Gateway.
Excellent research and analytical skills.
Excellent written and verbal communication skills.
Self-starter, flexible, innovative and adaptive.
Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization.
Ability to navigate a complex organization by working collaboratively with regional and global partners in other functional units.
Willingness to work in a fast paced environment with a positive attitude.
Proficiency in MS Office applications (Excel, Word, PowerPoint).
Bachelor’s degree; experience in a financial services firm, regulatory organization, or a combination thereof
Responsibilities: Analyze trading activity.
Perform, develop, and maintain surveillance reviews.
Identify potential risks and escalate the matter to a designated manager.
Generate ad-hoc reports, perform data analysis, and provide direction to business unit personnel, where appropriate.
Support aspects of planning and executing projects to assist in complying with regulatory requirements.
Appropriately assess and escalate risk when business decisions are made, demonstrating particular consideration to safeguarding clients, reputation, and regulatory footprint.
Participate in ad-hoc requests, special projects and regulatory exams directed by management, compliance or legal departments.
Get in Touch:
If you think you'd be a good match, submit your resume and reach out to Sachin at
(862) 343-6894
to learn more.#LI-SG1
#HbM6349
