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Compliance Analyst
Position Overview Support the Compliance team's surveillance, monitoring and testing activities. Assist with federal, state and local regulatory reporting, including FINRA, CFTC and SEC filings. Assist with regional and global ad-hoc projects. Position requires knowledge of relevant US regulations. Responsibilities Review exception reports generated by internal compliance systems including employee personal securities transactions under the firm's Code of Ethics. Review and update of firm compliance policies and the procedures relating to monitoring and testing of the implementation of those policies. Assist in records production in response to regulatory, internal audit or client requests. Revie


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