Our client, a large financial services company, is seeking an experienced Compliance Analyst in the Personal Trading division for a 4+ month contract assignment.
This role is fully remote but reside in the US and able to work EST or CST time zone.
The Analyst supports the planning for enterprise compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and to prevent illegal, unethical, or improper business practices within the organization. Under limited supervision, this job is to complete Compliance tasks as assigned by Compliance Team leadership, documenting compliance activities and tracking to completion.
Key Responsibilities and Duties- Prepares work to support compliance work and updates electronic tool/system with current status to ensure open issues are properly tracked through to closure.
- Completes assigned compliance tasks and projects at the direction of the Compliance Team leadership
- Communicates as needed with users to inquire about data needed (account statements, reasons for compliance breaches, etc.) to complete tasks
- Utilizes Excel as well as StarCompliance and reports for completion of tasks and tracking individual items to completion.
- References multiple policies Codes of Ethics and Personal Trading Policies for a variety of businesses within the company to understand requirements based on specific business units and users.
- Responds to general inquiries from shared mailbox based on specific Codes of Ethics and Personal Trading Policies of each user.
Requirements- University degree preferred
- 3+ years of experience in compliance within financial services; trading preferred
- Proficient in Excel including basic formulas (e.g. vlookup)
- Knowledge of compliance software such as StarCompliance or similar.
Pay Rate- $51.12- $53.12/hour