Compliance Analyst, Finance & Banking

Get AI-powered advice on this job and more exclusive features.

Phyton Talent Advisors provided pay range

This range is provided by Phyton Talent Advisors. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$24.00/hr - $27.00/hr

Our client, a Global Investment Bank, is seeking a Compliance Analyst in their Jacksonville, FL location:

Responsibilities:

• Perform functions relating to Personal Account Dealing, Code of Ethics, and Employee Compliance Attestations for the Americas region.

• Review and approve personal employee trading accounts ensuring all requisite documentation is received and maintained.

• Perform conflict check analysis on employee personal trade requests.

• Maintain a working knowledge of all Employee Compliance, Related Policies and Key Operating Procedures.

• Manage and monitor assigned tasks related to late account disclosures, declined accounts, exception requests, and unmatched brokerage accounts.

• Review the daily surveillance of executed trades in Employee and Employee related personal trading accounts to ensure compliance with the Firm’s Trading Policies.

• Perform research and investigations to identify the reason for potential violations.

• Document research results and escalate violations and/or suspicious activity according to firm policy and regulatory requirements.

• Assist in performing user acceptance testing, report post implementation issues and provide feedback on potential system enhancements.

• Assist with monitoring and reporting on global compliance periodic attestation requests.

• Escalate and communicate clearly, both in writing and orally, with peers, manager, and employees regarding issues encountered, questions and any violations of policy.

• Establish and maintain close collaborative working relationships with all department key business partners.

You will have:

• Minimum of a Bachelor’s degree or equivalent work experience.

• Strong interpersonal and communication skills including ability to communicate professionally and effectively, while using discretion with sensitive and confidential data, across all mediums with staff at all levels.

• An interest in financial markets and a willingness to learn.

• Ability to identify, escalate and communicate issues to management in an effective and succinct manner.

• Ability to multi-task on several different assignments/projects, meet deadlines, and perform well under pressure.

Seniority level

• Seniority level Associate

Employment type

• Employment type
  
  Contract

Job function

• Job function Finance
• Industries Banking, Investment Banking, and Financial Services

Referrals increase your chances of interviewing at Phyton Talent Advisors by 2x

Sign in to set job alerts for “Compliance Analyst” roles.

Jacksonville, FL $86,400.00-$ 3 days ago

Compliance Officer – Bank Holding Company Controls Monitoring Reviewer - Analyst

Jacksonville, FL $-$ 2 days ago

Compliance Officer iGaming North America Compliance Testing Specialist, Independent Compliance Testing

Jacksonville, FL $70,400.00-$ 1 day ago

Compliance Officer – Bank Holding Company Controls Monitoring Officer - Vice President

RA/QMS COMPLIANCE TRAINING ADMINISTRATOR (32589)
Physician Billing Compliance Analyst | Phys Billing Compl Remote GA, FL, NC, TN, NH ONLY | Day Senior Manager:
Records & Contracts Compliance & Reporting Manager, International Compliance & Reporting Services Business Analyst with Mainframe and .Net experience

Special Projects Analyst | UF Clinical Data Quality | Days | Full-Time Environmental Program Manager - Compliance and Remediation Manager, Cloud Monitoring and Compliance Engineer

US Seasonal Tax-Global Compliance and Reporting-Manager Tax Manager - Financial Services - Global Compliance and Reporting - Real estate

US Seasonal Tax-Global Compliance and Reporting
- Senior Manager Compliance Officer – Bank Holding Company Controls Monitoring Reviewer - Analyst Compliance Officer – Bank Holding Company Controls Monitoring Officer - Assistant Vice President

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

#J-18808-Ljbffr