Securities/Trading Compliance Analyst

Ardelle Associates
Published
July 25, 2019
Location
Newark, NJ
Job Type

Description

Ardelle Associates is seeking three Securities Compliance Analyst to support the United States Attorney’s Office in Newark, New Jersey. Analysts will support the Economic Crimes Unit investigating and prosecuting financial fraud cases, including securities, commodities and investment fraud schemes, corporate frauds, fraud against federally insured financial institutions, and Foreign Corruption.

Duties

  • Conducts examinations and other reviews related to FINRA member firms' finances and operations; sales, underwriting and trading practices; and supervisory and compliance policies, procedures, internal controls and systems to determine compliance with established standards and rule requirements.
  • Analyzes sales practices and investigates customer complaints, terminations for regulatory cause, and activities of broker-dealer personnel to assess the fair treatment of customers.
  • Analyzes internal and supervisory controls in key areas of risk and evaluates broker-dealer systems to determine quality, reliability and compliance with requirements.
  • Assesses the adequacy of member firms' financial condition and validates the accuracy of regulatory filings, net capital computations and books and records.
  • Develops evidence and analysis in support of enforcement actions; conducts or participates in interviews and depositions of customers, member firm personnel and others; partners with enforcement attorneys in development of formal disciplinary actions; and testifies at administrative hearings.
  • Creates work papers to evidence scope of examination and the accuracy of findings.
  • Provides comprehensive written and verbal reports to broker-dealer executives and FINRA management, including information relating to regulatory concerns noted during examinations.
  • Communication skills are extremely important. Works and interacts professionally and effectively with all levels of staff. Ability to meet established deadlines and work as a team player in a professional office setting.

Experience

  • 2 or more years’ experience providing securities compliance experience
  • Experience in a securities, finance, regulatory or auditing role is highly preferred.
  • Knowledge of FINRA and SEC rules and regulations
  • Bachelor’s Degree
  • Proficient using MS Excel, MS Outlook, MS Word, MS PowerPoint, Adobe Acrobat Professional,
  • Proficient working in Eclipse, Relativity, and/or Casemap.
  • Able to pass a federal background investigation

Company Description

Ardelle has been in business since 1980, is veteran-owned, and has established a history of solid, quality service to both commercial clients and the Government. We provide Consulting and Support Services for government agencies and contractors throughout the Washington metropolitan area and over 20 additional states.

We provide services in the areas of finance and accounting, legal support, and administration.

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