Compliance Analyst, Administrative​/Clerical

+

Job Title:

Compliance Analyst for a Financial Services company in Fort Worth.

+ 6 month contract to hire - Growth opportunity within the company

+ Hybrid - 3 days in office; 2 work from home

+ Pay: $17-$20/hr

The Compliance Analyst will assist in compliance matters and is a key contributor to the overall success of the company's compliance program. This position acts as a resource to Home Office personnel, Financial Advisors and their employees and is the facilitator and coordinator of multiple compliance operation processes.

Duties & Responsibilities

What will the employee do in this role?

+ Tracking Compliance projects, develop and maintain a regulatory Compliance Calendar, and assisting the department in prioritizing and handling such projects.

+ Assisting the department with responding to regulatory inquiries by gathering information, materials, documents, and reports throughout the company.

+ Address emails and phone calls coming into the Compliance and Legal Inbox and Compliance phone rotation line.

+ Maintaining corporate files of FINRA, SEC, and state regulatory examinations, handling regulatory correspondence, and researching securities laws and regulations.

+ Generate reports and prepare departmental monthly metrics reporting.

+ Gather and input relevant metrics data into Excel spreadsheets and publish and distribute key reports to management and compliance team members.

+ Cross-train in all compliance support functions and perform special assignments as requested by management.

+ Responsible for gathering all necessary documentation and reports for targeted inspections and Compliance investigations

+ Onboarding of new employees to include equipment and systems access requests.

+ Problem-solve, research, analyze and respond to routine compliance-related requests and inquiries from advisors, support staff and internal business units.

+ Prepare and publish various monthly, quarterly, and annual compliance reports for review by management.

+ Generate and pull pre-inspection reports to be used by the Compliance Examiners to analyze and prepare for branch exams.

+ Input cases and documentation int respective firm approved compliance tools such as My Compliance Office, and Audit Trax.

+ Act as the front line of communication to the field and business partners by monitoring and responding, within 24 hours, requests submitted to the Legal and Compliance Inbox.

+ Serve as backup compliance personnel in the creation of the financial advisor ADV2B brochure.

Administrative Responsibility

+ Distribute daily mail and arrange for Fed Ex Mail-outs and place departmental supply orders.

+ Make travel arrangements, complete registration for conferences and prepare expense reports for leaders in the Legal and Compliance department as needed.

+ Coordinate Compliance team outings, lunches, and birthday card distribution

+ Participate in and support the organization and planning of departmental gatherings and events.

Required Knowledge,

Skills and Abilities

+ Strong writing and communication abilities with prior administrative support experience.

+ Must have excellent Microsoft Office Suite proficiency to include Word, Excel, Outlook, PowerPoint, and Access.

+ Excellent judgment, integrity, time management, organization, and interpersonal skills as well as problem solving and logistics aptitude.

+ Ability to work independently with little supervision and to handle multiple assignments from several compliance professionals and/or attorneys simultaneously.

#Priority West
26

Job Type & Location

This is a Contract to Hire position based out of Benbrook, TX 76109.

Pay and Benefits

The pay range for this position is $19.00 - $19.00/hr.

Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following:

- Medical, dental & vision - Critical Illness, Accident, and Hospital - 401(k) Retirement Plan - Pre-tax and Roth post-tax contributions available - Life Insurance (Voluntary Life & AD&D for the employee and…