Sr. Compliance Analyst - Remote Full-time Job

Responsibilities

•Compliance Analyst - Remote

•Trusted licensing and registration expert to Field members and Corporate business partners by providing thorough, accurate and timely responses to FINRA and state regulator disclosure inquiries

•Manage or support end-to-end firm, department or team project initiatives including data and risk report development

•Execute on the GCO Framework in roles as Expert, Connector, Problem Solver and Risk Manager

•Responding to inquiries from FINRA and state securities regulators

•Reviewing FINRA U4 disclosure related documentation and providing guidance to registered individuals on disclosure reporting requirements

•Assessing business processes for automation development leading to efficiency improvement

•Leading Licensing and Registration projects that require cross-organizational partnership with business partners

•Investigate medium-complexity issues independently, conducting in-depth reviews of internal business practices, to identify potential problems and mitigate risk, and make appropriate recommendations

•Research applicable laws and regulations, and analyze their effect on policy, requiring working knowledge of laws, regulations and internal policies related to Compliance

Qualifications

•Bachelor's degree or equivalent (4 years) - 3-5 years of relevant experience

•Excellent verbal and written communication skills

•Highly organized and structured

•Ability to effectively manage multiple priorities and meet aggressive deadlines

•Expertise with Microsoft products

•Strong analytical skills and attention to detail including risk and operational metric reporting

•Ability to analyze process gaps and recommend process improvements

•Comfortable in responding to senior leader requests for information and answering questions

•Ability to read, understand, and explain regulations