Rothschild & Co
Global Advisory, Legal & Compliance Analyst, NY
Rothschild & Co, New York, New York, us, 10261
About Us
Rothschild & Co is a leading global financial services group with seven generations of family control and a history of over 200 years at the centre of the world's financial markets.
Our expertise, intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients, communities and planet.
We have 4,600 talented specialists on the ground in over 40 countries around the world, enabling us to deliver a unique global perspective across four market-leading business divisions – Global Advisory, Wealth Management, Asset Management and Five Arrows.
As a family-controlled business built on relationships, we place a huge emphasis on our people and finding the right colleagues to take our business forward.
Rothschild & Co is committed to an inclusive and supportive environment where different perspectives are valued. We are focused on the attraction and recruitment, development and retention and progression of high calibre talent to ensure we and our clients benefit from the value of difference.
Overview of Role Rothschild & Co is a registered broker-dealer that provides financial advisory services to corporate clients in connection with mergers and acquisitions, bankruptcy and restructuring and equity capital markets transactions. We are seeking an Analyst to provide compliance monitoring and support in connection with our broker-dealer compliance program. The Analyst will work closely with our attorneys and other legal and compliance personnel and will also interface with the firm’s investment banking personnel.
Responsibilities
Maintaining our electronic compliance management system
Performing conflicts checks
Assisting with new client due diligence and take-on procedures, including anti-money laundering checks
Monitoring employee outside business activities and financial interests
Assisting with regulatory filings and responses to regulatory inquiries and audits
Handling internal compliance reporting
Monitoring employee personal trading, including handling trade and account approvals
Assisting with corporate housekeeping (e.g., corporate resolutions and minutes)
Participating in the annual compliance audit
Assisting with responses to litigation-related document production requests
Assisting with additional legal and compliance projects as needed
Education and Qualifications
Bachelor’s Degree
Prior work experience in compliance, the financial services industry or as a paralegal
Experience, Skills and Competencies Required
Excellent time management and follow up skills
Attention to detail
Analytical
Team player
Strong communication skills
Ability to work under pressure and manage multiple deadline and priorities
Sound judgment and discretion in dealing with highly confidential/sensitive business matters
Ability to interface effectively with all levels of employees
Proficient in MS Office (Outlook, Excel, Word and PowerPoint)
Expected base salary rates for this role in our New York Office will be between $75,000 and $90,000 per year at the commencement of employment. However, salary offers are determined on an individualized basis and are based on a wide range of factors, including relevant skills, training, experience and education. Market and organizational factors are also considered. In addition to salary and our Rothschild & Co employee benefits package, successful candidates may be eligible to receive a discretionary bonus.
Rothschild & Co North America is an equal opportunity employer.
If you are a qualified individual with a disability or disabled veteran, you may request a reasonable accommodation if you are unable or limited in your ability to use or access this career website.
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Our expertise, intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients, communities and planet.
We have 4,600 talented specialists on the ground in over 40 countries around the world, enabling us to deliver a unique global perspective across four market-leading business divisions – Global Advisory, Wealth Management, Asset Management and Five Arrows.
As a family-controlled business built on relationships, we place a huge emphasis on our people and finding the right colleagues to take our business forward.
Rothschild & Co is committed to an inclusive and supportive environment where different perspectives are valued. We are focused on the attraction and recruitment, development and retention and progression of high calibre talent to ensure we and our clients benefit from the value of difference.
Overview of Role Rothschild & Co is a registered broker-dealer that provides financial advisory services to corporate clients in connection with mergers and acquisitions, bankruptcy and restructuring and equity capital markets transactions. We are seeking an Analyst to provide compliance monitoring and support in connection with our broker-dealer compliance program. The Analyst will work closely with our attorneys and other legal and compliance personnel and will also interface with the firm’s investment banking personnel.
Responsibilities
Maintaining our electronic compliance management system
Performing conflicts checks
Assisting with new client due diligence and take-on procedures, including anti-money laundering checks
Monitoring employee outside business activities and financial interests
Assisting with regulatory filings and responses to regulatory inquiries and audits
Handling internal compliance reporting
Monitoring employee personal trading, including handling trade and account approvals
Assisting with corporate housekeeping (e.g., corporate resolutions and minutes)
Participating in the annual compliance audit
Assisting with responses to litigation-related document production requests
Assisting with additional legal and compliance projects as needed
Education and Qualifications
Bachelor’s Degree
Prior work experience in compliance, the financial services industry or as a paralegal
Experience, Skills and Competencies Required
Excellent time management and follow up skills
Attention to detail
Analytical
Team player
Strong communication skills
Ability to work under pressure and manage multiple deadline and priorities
Sound judgment and discretion in dealing with highly confidential/sensitive business matters
Ability to interface effectively with all levels of employees
Proficient in MS Office (Outlook, Excel, Word and PowerPoint)
Expected base salary rates for this role in our New York Office will be between $75,000 and $90,000 per year at the commencement of employment. However, salary offers are determined on an individualized basis and are based on a wide range of factors, including relevant skills, training, experience and education. Market and organizational factors are also considered. In addition to salary and our Rothschild & Co employee benefits package, successful candidates may be eligible to receive a discretionary bonus.
Rothschild & Co North America is an equal opportunity employer.
If you are a qualified individual with a disability or disabled veteran, you may request a reasonable accommodation if you are unable or limited in your ability to use or access this career website.
#J-18808-Ljbffr