Compliance Analyst Temp-to-Hire
Compliance Analyst Temp-to-Hire
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Job Description
Company Overview:
CSS is working with a respected financial institution located in downtown Dallas Texas seeking a Compliance Analyst to join their team on a TemptoHire basis. This hybrid role offers flexibility with 2 days in the office and 3 days remote. The ideal candidate will have 3 years of experience in compliance functions a strong understanding of regulatory matters and the ability to manage employee compliance and administrative support.
Location: Downtown Dallas Texas (Hybrid: 2 days inoffice 3 days remote)
Salary: $38.46$52.88 per hour (DOE)
Experience Required: Minimum of 3 years in compliance or a related field (Bachelors degree preferred but equivalent experience is acceptable)
Key Responsibilities:
1. Employee Compliance Management
Manage employee background checks onboarding U4/NRF updates disclosures agreements and fingerprints.
Ensure compliance with annual attestations Outside Business Activities (OBA) employee account surveillance and U4/NRF updates.
Oversee offboarding processes for departing employees.
Review employee communications and documentation for compliance with regulatory standards.
2. Regulatory Compliance & Reporting
Monitor and implement regulatory changes within the organization.
Assist with audits exams and regulatory inquiries.
Prepare corporate filings and manage regulatory reporting (e.g. Blue Sheets CAT/CAIS).
Review and upload complaint reports in compliance with regulatory requirements.
3. Customer & Employee Matters
Support audits and exams by providing necessary compliance documentation.
Manage the AskCompliance Slack channel addressing compliancerelated inquiries.
Review advisor onboarding and ensure compliance with company policies.
Conduct periodic (annual) advisor reviews including AML checks.
Process complaints disclosures and notifications as needed.
4. Firm Compliance Matters
Liaise with product teams to ensure compliance throughout project lifecycles.
Address and resolve compliance issues (e.g. P0/P1level problems).
Assist in the development and maintenance of Written Supervisory Procedures (WSPs) and support control testing.
Required Qualifications:
Minimum 3 years of experience in a compliancerelated role.
Knowledge of regulatory frameworks (e.g. Blue Sheets CAT/CAIS) and audit processes.
Strong attention to detail with the ability to handle multiple tasks and deadlines.
Excellent written and verbal communication skills with the ability to collaborate effectively across teams.
Ability to work independently and as part of a team.
Proficiency in Microsoft Office Suite (Excel Word PowerPoint); experience with compliance management software is a plus.
Licensing (Optional but Preferred):
A compliancerelated license (e.g. Series 7 24 may be required for tasks such as Blue Sheets processing.
Additional Skills:
Strong organizational and timemanagement skills.
Ability to adapt quickly to changing regulatory requirements.
Proactive problemsolving abilities and a strong sense of accountability.
If youre an experienced compliance professional seeking a dynamic role in a fastpaced environment we invite you to apply for this exciting TemptoHire Compliance Analyst position in downtown Dallas.
Required Experience:
IC
Employment Type
Temp
