Financial Services Compliance & Controls
- 2 to 5 years of experience in financial services compliance processes, including KYC and regulatory certificate handling under FINRA, SEC, MSRB, and regulations.
- Hands-on experience with CRM / compliance systems, internal controls, financial policies, regulatory standards, and strong data accuracy and validation skills.
- Ability to review financial documentation and datasets, identify data inconsistencies, and recommend process improvements.
Broker Research Analysis
- Ability to research, source equity research reports from multiple broker houses, extract future financial projections, and generate consensus across key financial metrics.
- Experience in validating equity price revisions and assessing suitability and relevance of equity research.
Financial Statement Interpretation & Analysis
- Interpret, analyze, and validate financial data, reports, and statements, with the ability to read and interpret income statements, balance sheets, and cash flow statements.
- Apply financial terminology and concepts such as P&L, balance sheet, cash flow, financial ratios, and variance analysis in daily operations.
- Interpret and apply financial terminology related to equities.
- Review and ensure accuracy of financial documentation and datasets
- Ensure compliance with internal controls, financial policies, and regulatory standards
- Identify data inconsistencies and recommend process improvements
