Compliance Analyst - Core Regulatory Team
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Evercore is looking to hire an experienced Analyst to join the Regulatory Core Compliance group located in New York, NY. This individual will report to the team’s Vice President and will work on a team of 4 – 6 others. The ideal candidate is a highly motivated individual with a strong work ethic. This role requires the ability to work in a fast-paced environment with a focus on client-service, problem solving and proactively resolving issues. The US Compliance team supports a premier independent investment banking advisory firm of approximately 2,400 employees globally.
Primary Responsibilities
This individual will assist the Core Compliance team with onboarding, registrations, exam scheduling and maintaining and monitoring regulatory requirements for registered representatives.
The Core Compliance team is responsible for, but not limited to, the following areas: Anti-Money Laundering, Sanctions, Anti-Bribery and -Corruption, Gifts & Entertainment, Political Contributions, Registrations and Continuing Education, Personal Account Disclosures, Employee Training and Certifications, Outside Business Activities, Private Investments, Electronic Communications Surveillance, Testing and Supervision, Policies and Procedures and Regulatory Inquiries.
Specific Qualifications
About Evercore: Evercore (NYSE: EVR) is a premier global independent investment banking advisory firm. We are dedicated to helping our clients achieve superior results through trusted independent and innovative advice on matters of strategic significance to boards of directors, management teams, and shareholders - including mergers and acquisitions, shareholder advisory, restructurings, and capital structure. Evercore also assists clients in raising public, private capital, delivers equity research, equity sales and agency trading execution, in addition to providing wealth and investment management services to high-net-worth individuals. Founded in 1995, the Firm is headquartered in New York and maintains offices and affiliate offices in major financial centers in North America, Europe, the Middle East and Asia. For more information, please visit www.evercore.com
Inclusion and Equal Opportunity Employment: Evercore is an equal employment opportunity employer and does not discriminate against individuals because of actual or perceived race, color, creed, religion, sex, pregnancy, national origin or ancestry, mental or physical disability, age, veteran status, military status, citizenship status, sexual orientation, gender identity or expression, genetic information, or immigration or citizenship status, or any other characteristic protected by applicable law (referred to as “protected status”), in accordance with applicable federal, state and local laws.
Base Salary Range: $80,000 - $90,000
Primary Responsibilities
This individual will assist the Core Compliance team with onboarding, registrations, exam scheduling and maintaining and monitoring regulatory requirements for registered representatives.
The Core Compliance team is responsible for, but not limited to, the following areas: Anti-Money Laundering, Sanctions, Anti-Bribery and -Corruption, Gifts & Entertainment, Political Contributions, Registrations and Continuing Education, Personal Account Disclosures, Employee Training and Certifications, Outside Business Activities, Private Investments, Electronic Communications Surveillance, Testing and Supervision, Policies and Procedures and Regulatory Inquiries.
Specific Qualifications
- B.A. required
- Minimum of 3 years’ experience in Compliance, Risk Management, or a related field
- Knowledge of regulatory requirements and industry best practices within Compliance
- Excellent attention to detail with the ability to identify discrepancies, trends and compliance risks
- Effective project management skills, including the ability to handle multiple projects simultaneously in a fast-paced environment
- Problem-solving skills with the capacity to develop actionable solutions
- Strong organizational skills with the ability to meet tight deadlines and adapt to changing priorities
- Ability to work independently and as part of a cross-functional team
- Excellent written and verbal communication skills with employee at any/all levels
- High ethical standards, a strong sense of judgment and a commitment to maintaining confidentiality and integrity in all compliance matters
- Proficiency in Microsoft Office Suite (Word, Excel and PowerPoint); experience with compliance management-related software a plus
About Evercore: Evercore (NYSE: EVR) is a premier global independent investment banking advisory firm. We are dedicated to helping our clients achieve superior results through trusted independent and innovative advice on matters of strategic significance to boards of directors, management teams, and shareholders - including mergers and acquisitions, shareholder advisory, restructurings, and capital structure. Evercore also assists clients in raising public, private capital, delivers equity research, equity sales and agency trading execution, in addition to providing wealth and investment management services to high-net-worth individuals. Founded in 1995, the Firm is headquartered in New York and maintains offices and affiliate offices in major financial centers in North America, Europe, the Middle East and Asia. For more information, please visit www.evercore.com
Inclusion and Equal Opportunity Employment: Evercore is an equal employment opportunity employer and does not discriminate against individuals because of actual or perceived race, color, creed, religion, sex, pregnancy, national origin or ancestry, mental or physical disability, age, veteran status, military status, citizenship status, sexual orientation, gender identity or expression, genetic information, or immigration or citizenship status, or any other characteristic protected by applicable law (referred to as “protected status”), in accordance with applicable federal, state and local laws.
Base Salary Range: $80,000 - $90,000
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