Compliance Analyst

Philadelphia, PA

Our client, a global financial services organization is looking to add a Compliance Analyst to their organization.  This is a challenging, fast-paced and deadline-driven position, requiring excellent communication, interpersonal and time management skills.

 

Highlights about the company

  • Verify that client advisory activities are carried out in accordance with licensing requirements of applicable US and non-US jurisdictions
  • Field day-to-day compliance questions, related in particular to gifts & entertainment, political law, anti-bribery, anti-money laundering, personal securities transactions, broker-dealer licensing and related procedures and other investment advisor-related policies and procedures
  • Assist with ad hoc compliance projects (e.g., client reports, compliance attestations/certifications)
  • Provide in-person training on key policies and new regulatory requirements
  • Create new and maintain existing operating procedures
  • Assist with document production in connection with regulatory exams, inquiries and audits

 

Qualifications

  • Bachelor’s degree with an accredited college or university
  • 2-3 years of regulatory compliance, audit or other relevant experience in a financial services organization.
  • Familiarity with applicable SEC and FINRA rules
  • Strong knowledge of the financial markets or a compliance background is highly beneficial.
  • Juris Doctorate is preferred, but not required.

 

Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

Date Posted 10/3/2017
Salary $50,000-$70,000 + Bonus






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