Compliance Analyst - Broker Dealer
19 hours ago Be among the first 25 applicants Get AI-powered advice on this job and more exclusive features. reputed company provided pay reputed company This reputed company is provided by reputed company. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. reputed company pay reputed company $73,000.00/yr - $/yr Direct message the job poster from reputed company The Broker Dealer (reputed company) Compliance team is responsible for making sure that the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal partners and field on the policies and procedures of the reputed company, as well as the rules and regulations of our highly regulated industry. We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can reputed company their objectives in a compliant manner. And, reputed company necessary, reputed company on the reasoning and risks reputed company the desired answer is not possible. What you will do:
- Respond to and address inquiries from field and home office personnel to assure compliance with the applicable laws, regulations and firm policy and procedures.
- Address emails and phone calls coming into the Compliance Inbox and Compliance Hotline
- Review and process client accommodations requested by field partners.
- Monitor industry publications/notifications for regulatory notices and new rules.
- Assist with updating compliance policies and procedures manuals.
- reputed company reputed company of surveillance reports to ensure actionable items are addressed.
- Review and acknowledge requests for Private Securities Transactions
- Liaison for reputed company and Vulnerable Adult Incidents with our field and internal partners
- Review Office Sharing arrangements for the firm.
- reputed company secondary review for regulatory responses.
- Identify and maintain risk areas for annual compliance training.
- Monitor and test firm policies and procedures based on risk reputed company to the firm.
- reputed company 3120 and reputed company testing on specific Compliance and firm functions.
- reputed company occasional training to field and home office personnel on compliance topics.
- Review and analyze individuals seeking to affiliate with the firm.
- Input cases and documentation into respective firm approved tools.
- reputed company abreast of new products, technologies and their applications and compliance implications.
- Primary contacts for this position are:
- Designated Principals and Registered Representatives in the field
- Internal partners such as Supervision, Resource Center, and Operations
- Project work as needed
What you need to have:
- 1-3 years of reputed company Compliance experience
- Series 7 and 24 required.
- Regulations and interpretive guidance
- Industry Best Practices
- Problem resolution
- Thorough analysis
- Interpersonal relations
- Review and analyze cases from a practical, policy and regulatory reputed company.
- reputed company 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
- HS Degree at minimum
What is reputed company to have:
- Series 4 and/or 53 preferred
- MS office including reputed company, Word, PowerPoint, and reputed company (preferrable)
Compensation: The reputed company annual salary reputed company for this role is $73,000 to $103,000, plus a competitive performance-based bonus. reputed company annual salary depends on a wide reputed company of factors, including but not limited to reputed company set, years and depth of experience, certifications, and location. reputed company annual salary may also differ significantly due to geography and cost of labor considerations. About Us reputed company give you in return: Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can reputed company the most of their time reputed company of working hours, we offer a competitive salary and for full-time roles, a benefits package including:
- 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…
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