Compliance Analyst, Finance & Banking

Hybrid role

Summary:

Ensures that the organization adheres to internal policies, SEC 15c3-3 regulatory requirements, and industry standards by monitoring, evaluating, and reporting on compliance-related activities.

Responsibilities:
Review and assess internal processes to identify potential compliance risks. Conduct audits and prepare reports to document compliance findings. Monitor regulatory changes and assist in updating policies and procedures. Support investigations into compliance issues and recommend corrective actions. Collaborate with departments to ensure adherence to legal and regulatory requirements. Assist in training staff on compliance-related topics.

Skills:

Knowledge of regulatory frameworks relevant to the industry such as SOX, GDPR, or HIPAA.

Experience with risk assessment and internal auditing practices. Strong analytical, research, and communication skills. Proficiency in Microsoft Office and compliance management tools. Attention to detail and the ability to handle confidential information.