Current jobs related to Risk & Compliance Analyst - Philadelphia - Top Stack

  • Risk & Compliance Analyst

    1 week ago

    philadelphia, United States Top Stack Full time

    Our client is seeking a detail-oriented compliance professional to join their team. This position offers a chance to contribute to a dynamic team and support regulatory and compliance functions, including managing broker-dealer activities and distribution efforts. The role focuses on ensuring compliance with various regulatory frameworks while assisting in...

  • Risk & Compliance Analyst

    2 weeks ago

    Philadelphia, United States Top Stack Full time

    Our client is seeking a detail-oriented compliance professional to join their team. This position offers a chance to contribute to a dynamic team and support regulatory and compliance functions, including managing broker-dealer activities and distribution efforts. The role focuses on ensuring compliance with various regulatory frameworks while assisting in...

  • Risk & Compliance Analyst

    1 week ago

    philadelphia, United States Top Stack Full time

    Our client is seeking a detail-oriented compliance professional to join their team. This position offers a chance to contribute to a dynamic team and support regulatory and compliance functions, including managing broker-dealer activities and distribution efforts. The role focuses on ensuring compliance with various regulatory frameworks while assisting in...

  • Compliance Risk Management Specialist

    1 week ago

    Philadelphia, Pennsylvania, United States WSFS Bank Full time

    Job Title: Compliance Risk AnalystAt WSFS Bank, we are committed to creating a culture of inclusivity and support for our Associates. We empower them to grow their careers, guide our customers to secure their financial futures, and actively support our Communities so they can fully thrive.Job Summary:The Compliance Risk Analyst will be responsible for...

  • Risk Management Associate

    1 week ago

    Philadelphia, Pennsylvania, United States Strategic Risk Solutions Full time

    Job OverviewWe are seeking a highly motivated and detail-oriented Operations Associate to join our team at Strategic Risk Solutions. As a key member of our Garnet Captive Services Division, you will play a critical role in supporting our clients and driving business growth.Key ResponsibilitiesReview and analyze submission information, including preliminary...

  • Risk Analyst, Strategic Analytics

    4 weeks ago

    Philadelphia, Pennsylvania, United States Perpay - Career's Page Full time

    About UsWe're a financial technology company dedicated to building simple and inclusive financial products that help our members improve their financial futures. Our mission is to provide accessible and affordable financial services to individuals and families.Our ProductsWe've developed a range of innovative products to help our members achieve financial...

  • Risk Analyst

    4 weeks ago

    Philadelphia, Pennsylvania, United States Perpay - Career's Page Full time

    About UsWe're a financial technology company dedicated to building simple and inclusive financial products that help our members improve their financial futures.Our mission is to provide accessible and affordable financial solutions that promote healthy financial habits and economic stability.Our ProductsWe've developed a range of innovative products to help...

  • Compliance Officer

    2 weeks ago

    Philadelphia, Pennsylvania, United States Select Recruiting Group, LLC Full time

    Compliance Risk Management OpportunityLocation: RemoteSelect Recruiting Group, LLC is seeking a highly skilled Compliance Risk Management professional to join our team. This is a full-time, permanent position that will be a hybrid of working from home as well as in-person in our office.Position Overview:We are looking for a detail-oriented Compliance Risk...

  • Risk Analyst, Strategic Analytics

    4 weeks ago

    Philadelphia, Pennsylvania, United States Perpay - Career's Page Full time

    About UsWe're a financial technology company dedicated to building simple and inclusive financial products that help our members improve their financial futures.We believe everyone deserves a chance to create healthy financial habits and achieve economic stability.Our MissionWe're committed to providing innovative solutions that promote financial inclusion...

  • Compliance Analyst

    2 months ago

    philadelphia, United States Milligan & Company, LLC Full time

    WHO WE AREInterested in being a part of a remote-first team providing compliance consulting services? It starts with investing in talented team members as the foundation for our success. We offer competitive pay, excellent benefits, and integrate learning and development into every aspect of our projects.Milligan & Company, LLC, a full-service Consulting and...

  • Compliance Analyst

    2 months ago

    Philadelphia, United States Milligan & Company, LLC Full time

    WHO WE AREInterested in being a part of a remote-first team providing compliance consulting services? It starts with investing in talented team members as the foundation for our success. We offer competitive pay, excellent benefits, and integrate learning and development into every aspect of our projects.Milligan & Company, LLC, a full-service Consulting and...

  • Risk Analyst

    2 weeks ago

    Philadelphia, Pennsylvania, United States Perpay - Career's Page Full time

    About UsWe're a financial technology company dedicated to building simple and inclusive financial products that help our members improve their financial futures.We're proud to have achieved significant milestones, including $500 million in spending power used by our members and a 36-point average increase in members' credit scores within the first three...

  • Risk Management Solutions Executive

    2 weeks ago

    Philadelphia, Pennsylvania, United States The Risk Management Association Full time

    Empowering Financial Services LeadersAt ProSight Financial Association, we're committed to strengthening and advancing the financial services industry. Our strategic combination of RMA's expertise in risk management and BAI's knowledge in retail banking and regulatory compliance enables us to provide unparalleled solutions for financial services leaders.Job...

  • Risk Management Solutions Executive

    1 week ago

    Philadelphia, Pennsylvania, United States The Risk Management Association Full time

    Empowering Financial Services LeadersAt ProSight Financial Association, we're committed to strengthening and advancing the financial services industry. Our strategic combination of RMA's expertise in risk management and BAI's knowledge in retail banking and regulatory compliance creates a unique opportunity for financial services leaders to thrive.Job...

  • Information Security Compliance Specialist

    3 weeks ago

    Philadelphia, Pennsylvania, United States Harbor Consulting & Management, Inc Full time

    Job Title: Information Security Compliance AnalystHarbor Consulting & Management, Inc is seeking a highly skilled Information Security Compliance Analyst to join our team.About the RoleWe are a professional services organization with over 20 years of experience assisting our clients in staffing open positions. Our client is looking for a credentialed,...

  • Quality FEP Business Analyst

    1 day ago

    Philadelphia, United States Quality FEP Business Analyst Full time

    Immediate need for a talented Quality FEP Business Analyst. This is a 06+months contract opportunity with long-term potential and is located in Philadelphia, PA (Onsite). Please review the job description below and contact me ASAP if you are interested.Job ID:24-44290 Pay Range: $28 - $30/hour. Employee benefits include, but are not limited to, health...

  • Risk Analyst, Strategic Insights

    2 days ago

    Philadelphia, Pennsylvania, United States Perpay - Career's Page Full time

    About Us:We're a financial technology company dedicated to building simple and inclusive financial products that help our members create healthy financial habits and achieve economic stability.Our Mission:We believe everyone deserves a chance to improve their financial future. Our goal is to provide accessible and affordable financial solutions that promote...

  • Senior Data Risk Analyst

    7 days ago

    Philadelphia, Pennsylvania, United States WSFS Bank Full time

    Job SummaryAs a Senior Data Risk Analyst at WSFS Bank, you will be responsible for leading the aggregation and analysis of customer and 3rd party data to monitor credit risk strategies and develop business intelligence. You will assess, analyze, and interpret data outputs to develop usable and actionable information for business channel leaders. Your...

  • Risk Management Specialist

    1 month ago

    Philadelphia, Pennsylvania, United States Community Behavioral Health. Full time

    Job SummaryCommunity Behavioral Health is seeking a highly skilled Risk Analyst to support the execution of our Risk Management framework and strategy throughout the organization. As a key member of our team, you will work closely with department leadership to drive internal risk management activities, including risk identification and mitigation,...

  • Underwriting Compliance Analyst

    4 days ago

    Philadelphia, United States PA Compensation Rating Bureau. Full time

    Job DescriptionJob DescriptionJob Summary:The Underwriting Compliance Analyst reports to the Director of Classification & Underwriting. In this role they administer and interpret the rules and procedures of the Pennsylvania and Delaware Basic Manual (excluding classification administration and interpretation) because of inquiries from carriers, insurance...

Risk & Compliance Analyst

2 months ago

Philadelphia, United States Top Stack Full time

Our client, a respected leader in the financial services industry is seeking a Risk and Compliance professional to support their distribution-compliance team. This role is integral to ensuring compliance with marketing material reviews, broker-dealer regulations, cross-border distribution, and anti-money laundering (AML) requirements.

Key Responsibilities:

  • Review marketing materials for compliance with relevant regulatory standards (SEC, FINRA, etc.).
  • Oversee email communications for investment adviser and broker-dealer compliance.
  • Assist in managing the regulatory framework for broker-dealers and registered representatives.
  • Collaborate with global teams to ensure cross-border distribution compliance.
  • Contribute to the firm’s regulatory obligations, including analysis of existing and new regulations and testing the effectiveness of the broker-dealer compliance program.
  • Ensure AML compliance, focusing on US and Cayman Islands regulations.
  • Participate in ad hoc projects within Risk & Compliance.

Qualifications:

  • Bachelor’s degree required.
  • 1 plus years of experience in investment management.
  • SIE and Series 7 certifications required
  • Series 24 to be obtained within 90 days of start.
  • Proficiency in Microsoft Excel, Word, and PowerPoint; Adobe Pro knowledge is a plus.
  • Strong analytical skills with the ability to challenge processes when necessary.
  • Excellent written and oral communication skills.
  • Ability to prioritize and manage multiple tasks effectively.

Work Conditions:

  • Hybrid work environment with a minimum of three days per week in the office.