Compliance Analyst, Finance & Banking

Our client, a leading financial services organization, is seeking a dedicated Compliance Analyst to join their team. As a Compliance Analyst, you will be an integral part of the Employee Compliance Team supporting the Registrations program. The ideal candidate will demonstrate attention to detail, proactive problem-solving skills, and excellent communication abilities, which will enable you to thrive within the organization and contribute to its ongoing success.

Job Title: Compliance Analyst

Location: New York, New York

What's the Job?

• Support components of the Registrations program, including processing registration filings such as U4, U5, BD, and   forms
• Maintain and update the associated persons (AP) list, licenses, and supervisory reporting maps
• Review workflow queues and reports, including FINRA Web CRD
• Coordinate fingerprinting and background check procedures for registered persons
• Assist in regulatory examination preparations and coordinate study materials

What's Needed?

• Understanding of vendor systems and familiarity with Web CRD, Gateway, and regulatory reporting forms
• Proactive self-starter with the ability to develop and improve programs
• Excellent written and verbal communication skills
• Knowledge of securities broker/dealer registration and licensing rules
• Ability to work collaboratively with multiple stakeholders and teams

What's in it for me?

• Opportunity to work within a dynamic and supportive team environment
• Engagement in meaningful compliance and regulatory processes
• Potential for professional growth and development
• Exposure to the financial services industry and regulatory landscape
• Supportive work culture that values diversity and inclusion

Upon completion of waiting period consultants are eligible for:

• Medical and Prescription Drug Plans
• Dental Plan
• Vision Plan
• Health Savings Account
• Health Flexible Spending Account
• Dependent Care Flexible Spending Account
• Supplemental Life Insurance
• Short Term and Long Term Disability Insurance
• Business Travel Insurance
• 401(k), Plus Match
• Weekly Pay

If this is a role that interests you and you'd like to learn more, click apply now and a recruiter will be in touch with you to discuss this great opportunity. We look forward to speaking with you!

About Manpower Group, Parent Company of:
Manpower, Experis, Talent Solutions, and Jefferson Wells.

Manpower Group® (NYSE: MAN), the leading global workforce solutions company, helps organizations transform in a fast-changing world of work by sourcing, assessing, developing, and managing the talent that enables them to win. We develop innovative solutions for hundreds of thousands of organizations every year, providing them with skilled talent while finding meaningful, sustainable employment for millions of people across a wide range of industries and skills.

Our expert family of brands - Manpower, Experis, Talent Solutions, and Jefferson Wells - creates substantial value for candidates and clients across more than 75 countries and territories and has done so for over 70 years. We are recognized consistently for our diversity - as a best place to work for Women, Inclusion, Equality and Disability and in 2023 Manpower Group was named one of the World's Most Ethical Companies for the 14th year - all confirming our position as the brand of choice for in-demand talent.