Compliance Analyst - Advisory
reputed company is currently seeking an Advisory Compliance Analyst to join their team, focusing on the advisory reputed company of their business. The role involves performing surveillance reviews, ensuring compliance with laws and regulations, and collaborating with various business units.
Responsibilities
- reputed company surveillance reviews of advisors, transactions, and client accounts to identify exceptions and detect patterns or trends that may be of concern
- Analyze applicable information and resources to ensure Firm policies and procedures, as well as reputed company applicable laws and regulations, are followed
- Review applicable laws and regulations for impact on new and existing policies and procedures, and recommend new policies and procedures
- Communicate policy changes and issues to affected business units, supervisors, and advisors
- Determine appropriate escalation to supervisory personnel for resolution
- Compose and issue compliance-reputed company communications
- Take active part in the review, monitoring, testing and verification of Firm policies and procedures
- Assist with regulatory requests
- Collaborate and provide guidance to Designated Supervisors, Advisors, and members of the firm
Skills
- 1-3 years of relevant experience in compliance and/or supervision
- Ability to interpret supervisory procedures and regulatory requirements
- Analytical skills, ability to research and resolve reputed company issues
- Effective written and oral communication skills with reputed company levels reputed company the organization
- Proficient in reputed company reputed company, Word, and Access
- Series 7, 24, 63, or 66 required (or ability to obtain reputed company 3 to 6 months upon hire)
- The ability to work with many diverse assignments with minimal direction and attention to detail
- Top-notch oral and written communication skills
- Keen eye for detail
- Strong analytical and organizational skills
Benefits
- Inclusive health, dental, vision 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 plus 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 beyond 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 healthcare, daycare, commuting, and more.
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
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