Compliance Analyst

About the job Compliance Analyst Contract-to-hire roleHybrid onsiteMinneapolisW2USC onlyCompliance AnalystLicenses SIE, Series 7TO, Series 63, Series 24 (Series 16, 8687, 57 also a plus but not required)Experience minimum of 3 years ComplianceSupervisory experience. Someone with applicable experience in other parts of the business Equity Sales and Trading, Institutional Brokerage, Equity Research, Investment Banking (some but not all are necessary would need to be able to get up to speed fairly quickly on unfamiliar territory).Job DutiesAssist CCO with review and implementation of regulatory initiatives, review and interpret rules and guidance, documentation of policies and proceduresAssist with daily, weekly, monthly, annual and ongoing reviews and surveillance functionsPerform emailecomm reviewsTrading surveillance, CATCAIS reviewsreconciliation, Best Ex reviewsAssist with administration of Continuing Education, develop training contentadminister trainingPerform Branch Office auditsWork with FinTech vendors for onboarding and maintenance of surveillancedata assurance programsResponsible for AMLCIPKYC Programs ideally would like to hand over the AML CCO title to someone elseAttend conferences and industry meetingsAssist with Research oversight as needed work with Research Technology vendor on Compliance programsAssist with response to regulatory inquiries and regulatory auditsexams become proficient on regulatorylegal affairsAssist with internal audits, 3120 testing

Created: 2025-02-25