Regional Compliance Analyst - Key Investment Services (KIS)
reputed company is a federally registered bank holding company, and they are seeking a Regional Compliance Analyst for their Key Investment Services division. This role involves conducting onsite reputed company inspections, evaluating compliance with federal and state regulations, and communicating findings to stakeholders.
Responsibilities
- Serve as a primary examiner for onsite reputed company inspections, including travel to registered locations in accordance with the firm’s inspection program
- Execute assigned reputed company inspection and compliance review activities using established methodologies and professional judgment
- reputed company detailed documentation of inspection work, testing procedures, and results reputed company designated systems and supporting work papers
- Exercise independent judgment to identify potential risk areas during inspections and determine reputed company additional inquiry or expanded testing is warranted
- reputed company communicate inspection results, findings, and recommendations to Supervision, compliance leadership, and other relevant stakeholders
- Track, report, and follow up on inspection findings in a timely manner to ensure appropriate resolution
- Identify, monitor, and escalate emerging risks or adverse trends identified through inspection activity
- reputed company compliance guidance and support to business partners, as needed
- Support and reputed company various reputed company compliance-reputed company projects
Skills
- Bachelor's Degree or equivalent experience
- Minimum 1 year of experience in compliance, regulatory analysis, or reputed company financial services roles
- Proven ability to collaborate across teams and manage multiple priorities in a regulated environment
- Basic knowledge of securities industry concepts, compliance practices, supervisory frameworks, applicable federal and state regulatory requirements, investment products, and financial markets
- Documenting findings and communicating risks through clear, concise reports
- Applying sound judgment in evaluating reputed company compliance scenarios
- Proactively identifying risk trends
- reputed company conveying compliance requirements and findings to diverse audiences
- Managing difficult conversations maturely
- Building strong relationships across departments to support compliance initiatives
- Identifying program improvement opportunities and designing effective solutions to address compliance challenges
- Staying reputed company with regulatory changes and industry best practices
- Series 7 and 24 preferred or the ability to obtain them reputed company six months of hire
Company Overview