Compliance Analyst

2 months ago


Dallas, United States BGSF Full time

Overview: We are seeking a meticulous and proactive Compliance Analyst to join our team. Our company provides a comprehensive platform for financial advisors to manage their clients' money by handling account tracking and transaction processing. The Compliance Analyst will play a crucial role in ensuring that our operations comply with all applicable regulations and internal policies.

Key Responsibilities:

  • Regulatory Monitoring: Stay current with regulatory developments and ensure the company's compliance program is up to date with industry standards and legal requirements.
  • Policy Implementation: Develop, implement, and maintain compliance policies and procedures to ensure all aspects of the platform and transaction processing meet regulatory standards.
  • Risk Assessment: Conduct regular risk assessments to identify and mitigate potential compliance issues.
  • Audit and Review: Perform internal audits and reviews of the platform's operations, including transaction processing and account management, to ensure compliance with regulations.
  • Incident Management: Investigate compliance incidents and breaches, recommend corrective actions, and ensure follow-up on remediation efforts.
  • Training and Education: Design and deliver compliance training programs to educate employees and financial advisors on regulatory requirements and company policies.
  • Reporting: Prepare comprehensive compliance reports for senior management and regulatory authorities as required.
  • Collaboration: Work closely with IT, operations, and legal teams to ensure compliance is integrated into all aspects of platform development and transaction processing.

Qualifications:

  • Education: Bachelor’s degree in Law, Business Administration, Finance, or a related field.
  • Experience: Experience in a compliance role within the financial services industry, preferably with a focus on platform-based financial services.
  • Skills:
  • Strong knowledge of financial regulations and compliance requirements.
  • Excellent analytical skills and attention to detail.
  • Ability to interpret and apply complex regulatory requirements.
  • Strong communication and interpersonal skills.
  • Proficiency in compliance management software and tools.
  • Experience with transaction processing and account management systems is a plus.

Preferred Qualifications:

  • Professional certification (e.g., Certified Compliance & Ethics Professional, Certified Regulatory Compliance Manager).

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