Financial Compliance & Research Analyst

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