Compliance Analyst

Job Description:

Seeking for Corporate Compliance Analyst to support its global Corporate Compliance team onsite at the iconic in New York City.

This role will support ongoing monitoring and administration of corporate compliance programs, with a strong emphasis on employee personal trading monitoring, compliance reporting, employee disclosures, and policy/process administration within a fast paced financial services environment.

This is an excellent opportunity for someone looking to deepen their experience within financial services compliance while gaining exposure to a global publicly traded organization.

Key Responsibilities
* Support monitoring and administration of corporate compliance programs
* Assist with employee personal trading monitoring and related compliance reporting
* Review employee disclosures related to gifts, meals, entertainment, and outside business activities
* Support recurring compliance reporting, tracking, and monitoring activities
* Assist with broker account outreach and documentation requests
* Help manage compliance queues, recurring monthly/quarterly processes, and project work
* Support onboarding compliance communications and employee compliance awareness efforts
* Follow established compliance procedures and maintain accurate documentation
* Assist with ad hoc compliance projects as needed

Required Qualifications
* Experience within corporate compliance, regulatory compliance, compliance operations, or related financial services environments
* Familiarity with personal trading policies, employee disclosures, or compliance monitoring activities
* General understanding of securities trading concepts and financial markets
* Strong attention to detail and organizational skills
* Ability to manage repetitive, process driven work accurately in a high-volume environment
* Strong written and verbal communication skills
* Self-starter with the ability to prioritize and meet deadlines

Preferred Qualifications
* Experience within banking, broker dealer, fintech, or financial services organizations
* Exposure to compliance reporting systems such as STAR Compliance, Protogen PTA, or similar platforms
* Experience supporting code of ethics administration, employee disclosures, or trading surveillance activities
* Exposure to gifts/meals/entertainment monitoring or outside business activity reviews

Additional Information
* Candidates selected for this role will become subject to personal trading policy and related compliance requirements during the engagement
* This is a highly collaborative, lean team environment supporting a global public company
* Fast moving interview process

Dexian stands at the forefront of Talent + Technology solutions with a presence spanning more than 70 locations worldwide and a team exceeding 10,000 professionals. As one of the largest technology and professional staffing companies and one of the largest minority-owned staffing companies in the United States, Dexian combines over 30 years of industry expertise with cutting-edge technologies to deliver comprehensive global services and support.

Dexian connects the right talent and the right technology with the right organizations to deliver trajectory-changing results that help everyone achieve their ambitions and goals.To learn more, please visit https://dexian.com/.

Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.