["Compliance Analyst","Compliance Analyst"]

Our Client, a Global Financial Services Firm, is seeking a Compliance Analyst to support compliance monitoring, regulatory reporting, and risk management initiatives within a dynamic financial services environment. Knowledge of SEC Rule 15c3-3 and other regulatory frameworks such as SOX, GDPR, or HIPAA is preferred.

Our Client, a Global Financial Services Firm, is seeking a Compliance Analyst to support compliance monitoring, regulatory reporting, and risk management initiatives within a dynamic financial services environment. This role is responsible for ensuring adherence to internal policies, SEC Rule 15c3-3 requirements, and applicable regulatory standards while partnering with cross-functional teams to identify and mitigate compliance risks.

Key Responsibilities:

• Review and assess internal processes to identify potential compliance risks.
• Conduct compliance reviews and audits, documenting findings and recommendations.
• Monitor regulatory changes and assist with updating policies and procedures.
• Support investigations into compliance-related matters and recommend corrective actions.
• Partner with internal stakeholders to ensure compliance with legal and regulatory requirements.
• Assist with compliance training and awareness initiatives.
• Maintain accurate documentation while handling sensitive and confidential information.

Qualifications:

• Experience in compliance, risk management, internal audit, or a related field.
• Knowledge of SEC Rule 15c3-3 and other regulatory frameworks such as SOX, GDPR, or HIPAA is preferred.
• Strong analytical, research, and communication skills.
• Proficiency with Microsoft Office and compliance management tools.
• Exceptional attention to detail and the ability to manage confidential information.

Hourly Pay Range: $50.00 to $60.00/hr