Compliance Analyst
Compliance Analyst
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$ 70000 - 75000
1 Vacancy
Job Description
Compliance Analyst
Position Overview:
The Compliance Analyst will support overall enterprise and specific projects working in the Compliance Department of a BrokerDealer. We seek a motivated and energetic professional to learn compliance to meet regulatory requirements protect clients and protect integrity of the financial markets.
Responsibilities include:
- Assist the Chief Compliance Officer and the compliance senior leadership team with analysis documentation tasks and of projects
- Support US compliance program to maintain registered employees work location designation and support supervisory office attendance tracking for compliance with FINRA Rule 3110
- Manage the supervision hierarchy by reviewing HR reports and exception reports
- Learn PowerBI and create insightful dashboards to provide information on various includes performing trend analysis and data analytics from management information systems
- Review and triage emails sent to the Compliance Department and Compliance Education mailboxes
Qualifications
- BA or BS Minimum Finance Economics Law or related degree
- Minimum 03 years of experience as a summer intern or analyst in financial services compliance or in a related field.
- Familiarity in any of these areas: financial services compliance legal or related field.
- Proficient with MS Office. Power user of Excel for data analysis pivot tables VLookUp functions.
- Experience with BI Tools such as Power BI Tableau or like tools a plus.
- UX / UI Designer experience a plus but not mandatory.
- Excellent communication and relationship management skills.
- Ability to work in a fastpaced environment and act independently as a self starter while working on multiple initiatives.
- Comfortable with interacting with employees throughout the firm at all levels.
- Good analytical and writing skills ability to understand the needs of business organizations ability to incorporate feedback and attention to detail.
- Sense of prioritization and urgency on critical matters.
Primary Location Full Time Salary Range of $70000 $75000
Required Experience:
IC
Employment Type
Full-Time
