Job Details

Junior Compliance Officer

Company name

Organization Type


Job Type


Years of Experience

Min 1 yrs required


Raleigh, NC

Date Last Verified

Oct 18,2017

Posted on

Sep 04,2017
Practice Area
Government and Government Relations >> Government and Government Relations
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Junior Compliance Officer Duties: Responsible for answering compliance and risk related questions from research analysts, investment bankers and other personnel across the firm as they relate to the sharing of material non-public information, granting or denying approval for communications with analysts and facilitating compliance with firm policies. Developing and drafting of compliance policies and procedures for the Research Department, fact gathering to assist in internal investigations. Developing and coordinating of compliance education and training activities. Coordinating with the Control Room, other Legal and Compliance groups, and other areas of the firm. Assisting with tracking compliance exceptions and regulatory developments and conducting oversight reviews in line with established compliance monitoring programs.

Qualification and Experience

Qualifications: A recent graduate for a JD Degree from an accredited law school. Excellent interpersonal and client service skills as well as have the ability to work very closely and confidently with many levels of management on the business side. Solid analytical, organizational and drafting skill are also necessary. Ability to multi-task while working on long-term projects. Should be a fast thinker, self starter, and possess the ability to work effectively under pressure in a rapidly changing environment in order to meet deadlines. Able to work autonomously as an effective member of a dynamic team.

Additional info

Job ID 100992

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