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Compliance Analyst

3 months ago

Chicago, Illinois, United States Procom Full time
BMO is currently sourcing for a Compliance Analyst - Int position on a 4-month contract.

Summary of Role:


The Compliance Analyst - Int will work with the US Registrations team at BMO to manage regulatory governance projects in alignment with BMO and FINRA requirements.


Project:
Regulatory governance projects in alignment with BMO and FINRA requirements.

Years of experience:

5 years

RESPONSIBILITIESINCLUDE (but are not limited to):

RESPONSIBILITIES

  • Registering individuals for roles in accordance with FINRA
  • Monitoring and ensuring compliance with regulations
  • Handling ad hoc FINRA inquiries
  • Analyzing data downloads

Required Skills:

  • 5 years experience in Security, Compliance, and Regulatory Governance
  • Proficiency in MS Office
  • Ability to think strategically

Desired Skills:

  • Bachelor's degree or MBA
  • Exposure to FINRA gateway
  • Knowledge of U4/U5 forms
  • Experience with National Futures Association

Top Skills:

  • Security, Compliance, and Regulatory Governance
  • Proficiency in MS Office
  • Strategic thinking