Compliance Officer, Analyst

Job Purpose: BTIG seeks a motivated and detail-oriented Compliance Analyst to join our Compliance team. This entry-level role is critical in supporting the firm’s Compliance program, ensuring that BTIG is adherence with the rules and regulations of the SEC, FINRA as well as Firm policies. The ideal candidate is organized, adaptable, eager to learn, and should be a team player. Duties & Responsibilities: Provide administrative support to the Compliance team as needed. Review of Employee Personal Trade Preclearance Requests Process background check on request for Account coverage Review/Audit of Employee’s Electronic Communications FINCEN review Responsible for tracking and reviewing Of Non-direct feed Employee Account Statements Prime and DMA Documentation audit…