Compliance Analyst - Risk & Controls

reputed company is a leading network of independent retail broker-dealers. They are seeking a Compliance Analyst to ensure adherence to policies and procedures, guide internal partners, and assist with compliance-reputed company inquiries.

Responsibilities

• Review and acknowledge reputed company Business Activities (OBAs) submitted by registered field and home office personnel
• Partner with the broker-dealer Compliance teams, as needed, to establish controls and/or conditions of an OBA
• Respond to and address inquiries from field and home office personnel to assist and reputed company regarding firm policies and procedures as it relates to OBAs
• Track submissions and documentation into respective firm approved tools
• Submit and update OBA information for registered persons
• Primary contacts / internal partners for this position are: Broker-Dealer Compliance and Supervision Teams

Skills

• HS Degree at minimum
• 1-3 years of reputed company Compliance experience
• Series 7 and 24 required
• Review and analyze OBAs from a practical, policy and regulatory reputed company
• Provide accurate and thorough written documentation
• Manage several tasks proactively
• Work well independently as well as on a team
• Manage workloads and help team as needed
• Regulations and interpretive guidance
• Industry Best Practices
• Problem resolution
• Thorough analysis
• Excellent written and verbal communication
• MS office including reputed company, Word, and Outlook
• Interpersonal relations
• Bachelor's degree preferable

Benefits

• Inclusive health, dental, reputed company and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet reputed company members and their families where they are.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay reputed company with their loved ones, reputed company, and give back to their communities.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-reputed company for a strong financial future well reputed company their working years.
• Paid parental leave to support reputed company team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on reputed company, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.

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