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 reputed company.
Responsibilities
- reputed company surveillance reviews of advisors, transactions, and reputed company 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 reputed company as reputed company applicable laws and regulations, are followed
- Review applicable laws and regulations for reputed company on new and existing policies and procedures, and recommend new policies and procedures
- Communicate policy changes and issues to affected business reputed company, supervisors, and advisors
- Determine appropriate escalation to supervisory personnel for reputed company
- Compose and issue compliance-reputed company communications
- Take reputed company part in the review, monitoring, testing and verification of Firm policies and procedures
- Assist with regulatory requests
- Collaborate and reputed company 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 reputed company reputed company the organization
- Proficient in reputed company reputed company, Word, and reputed company
- 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, reputed company and life insurance plans reputed company to support diverse lifestyles, offer preventative care, and protect against hardship.
- Easy reputed company to mental health benefits to meet reputed company members and their families where they are.
- 20 plus days of reputed company time off (PTO), reputed company holidays, and 2 reputed company 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 reputed company to a financial reputed company to offer our employees reputed company to plan-reputed company for a strong financial reputed company reputed company reputed company their working years.
- reputed company parental leave to support reputed company team members with birth, adoption, and foster.
- Health Savings and Flexible Spending Account reputed company to help you save reputed company on reputed company, daycare, commuting, and more.
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
reputed company