Compliance Analyst

About This Role

This temporary position supports the Compliance Group with its oversight, monitoring, analysis, administrative, and reporting functions related to securities regulations and internal policies. The role involves reviewing compliance matters, conducting research and analysis, identifying potential concerns, documenting findings, and escalating issues for further review. It is a great opportunity for someone driven by financial services compliance to contribute to a company focused on client confidence and security.

Responsibilities

• Review and assess marketing materials and communications for compliance with applicable regulatory requirements and internal policies, providing clear comments and recommendations
• Evaluate and respond to requests relating to sales activities and events, researching applicable requirements and identifying matters requiring escalation where appropriate
• Monitor business promotional activities and gifting regularly for adherence to applicable guidelines, identify potential exceptions, and support appropriate follow-up and remediation
• Conduct regular targeted reviews of the corporate website and social media accounts and document findings, exceptions, and required follow-up
• Conduct research and analysis of securities regulatory requirements, regulatory guidance, and internal policies in support of compliance reviews and inquiries
• Assist with updating internal policies and procedures with the manager’s guidance, including identifying opportunities to strengthen controls and procedures
• Assist in implementing compliance oversight for new product offerings
• Support the group’s employee training efforts, including researching compliance requirements and assisting with the development and maintenance of training materials
• Help maintain compliance documentation and recordkeeping, including accurate documentation of reviews, findings, decisions, and supporting rationale
• Identify emerging or recurring compliance issues through day-to-day reviews and monitoring and bring significant matters to the attention of the Compliance Manager
• Support compliance monitoring, testing, reporting, and other projects as required

Requirements

• Bachelor’s degree in a relevant field
• Analytical thinking and problem-solving skills
• Strong attention to detail, organizational skills, and ability to manage multiple priorities
• Strong initiative, investigative-thinking skills, and the ability to exercise sound judgment
• Ability to research and interpret regulatory requirements and apply them to practical business situations
• Ability to clearly document analysis, findings, and recommendations and knows when an issue should be escalated
• Clear written and verbal communication skills and ability to work effectively in a team environment