New York, United States
A successful/ fast growing financial technology headquartered in New York City, seeks an individual to join the Client Implementation Team. This specialist would require time split between the NYC office and potentially direct on-site with clients in the Greater New York Area - 5 days per week. The individual will be joining a fast-moving start-up atmosphere and will be highly motivated, extremely thorough and have the ability to manage competing priorities. This individual will have graduated from an accredited four-year undergraduate university.
Responsibilities would include:
--Implement compliance monitoring software in a number of locations for a variety of applications, typically focused in the Broker Dealer transaction reporting space but have clients in healthcare, pension funds, anti-money laundering.
-- Assist in the design, engineering & execution of the firm’s core offering of Compliance Workbench products;
--Interact with various types databases in order to pull and shape data into different formats for data collection and statistical analysis.
--Familiarity with financial control construction, financial control change management & regression testing, the incumbent will be in essence building and testing regulatory financial controls.
--Client relations, relationship management.
--Draft, update and implement firm policies, procedures & templates associated with each bespoke client build in addition to proprietary documentation requirements;
Desired Skills and Experience:
The position requires a self-starter with strong communication and technical skills, the ability to understand and adapt to a wide variety of compliance and data analytical projects, and the desire and ability to maintain the company's strong compliance monitoring program and record.
--Strong time management skills are essential;
--Technical coding and development skills are essential;
--Proficiency in SQL is essential along with an understanding of databases;
--JAVA, Python, VBA an asset;
--Technical writing skills an asset
--Familiarity with both applicable Broker Dealer regulations such as: LOPR, Blue Sheets, OATS, Consolidated Audit Trail, TRACE, Short Interest are a plus;