Job Board

Title: Senior Regulatory Compliance Analyst
Role Type: Permanent/Fulltime
Location: NYC
Level: Mid-Level
Position Available: Immediately

Manage a team of four Regulatory Specialists and other contractors, providing direction and managing stakeholder
communications.

Role Description
- Ensure that the client and it’s employees conduct business in accordance with federal and state laws, rules, and
regulations – including the rules and regulations of the Securities and Exchange Commission, The Federal Reserve Bank, the Commodity Futures Trading Commission, FINRA and other government agencies, selfregulatory organizations, internal policies, and industry best practices.

- Serve as key point of contact for reporting and metrics
- Support all aspects of the “Know Your Customer” (KYC) Team including:

o Serve as KYC subject matter expert for the front office
o Manage a team of high risk file reviewers and serve as approver
o Manager and report on file review workflow
o Oversight of documentation of complex commercial ownership structure
o Analyze negative news and politically exposed persons
o Guide onboarding operations in understanding and complying with KYC processes and requirements
o Develop and conduct targeted KYC training
o Develop KYC guidance and tools
o Manage Anti-Money Laundering related metrics reporting
o Coordinate with Home Office regarding global KYC requirements
o Assist in leading regional KYC projects and initiatives
o Analyze unvetted customer transaction alerts

Basic Qualifications & Experience
• 12 months’ experience as a Regulatory/Compliance Officer/Specialist or related role
• Strong understanding of regulations, with emphasis on MFID II
• Bachelor’s Degree

Personal Skills
• Highly organized and ability to manage multiple workstreams
• Strong organizational skills as well as the ability to adapt quickly to changing priorities
• Self-motivated, able to work independently

Salary
• $93,000-$110,000 dependent on experience

For consideration or to apply please forward your resume to Michael Marshall, mmarshall@nationwidecareerfairs.com

EEO Statement
JDX Consulting Inc, a Delta Capita Company, is an Equal Employment Opportunity employer. JDX does not make hiring or employment decisions on the basis of race, religion, color, national origin, gender (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, age, status as a protected veteran, status as an individual with a disability, or other applicable