Our client, a Multinational Trading Platform, is looking for a Compliance Associate focused on their CAT Transaction System
This position is focused on the Consolidated Audit Trail (“CAT”) reporting systems and compliance supervision to ensure that the firm has complied with the rules. This is an operational and oversight function that requires the ability to read regulations, research and analyze data, understand technical implementations of systems and devise control procedures to test compliance.
Experience in researching transactional reporting issues to form evidence- based conclusions is a necessary skill. Experience in data analysis and/or system development or improvement is strongly preferred. While preference will be given to individuals that have financial services industry experience, other similar compliance type of experience in another industry will be considered.
Specific Job Responsibilities: