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Compliance Analyst

1 month ago

Fort Mill, United States Dexian Full time

Job Overview:

  • This role is a part of The Electronic Communications Compliance (eComm) team within the Risk and Compliance.
  • Looking for someone who can help us ensure the technology we use is in compliance with all of the regulatory guidelines related to CARS (Capture, Archive, Retrieve, and Supervise).
  • Working key stakeholders to help our Advisors protect their business from legal and compliance risk.


Responsibilities:

  • Manage and support firm wide risk and compliance activities for digital tools that contain electronic communication.
  • Electronic communication may include, but is not limited to email, text messaging, chat/instant messaging, social media, marketing automation, appointment scheduling, and web-portals.
  • Proactively identify any CARS requirements and improvement opportunities for such tools.
  • Help oversee control performance, ensure that key eComm controls are performed within appropriate guidelines given the risk profile.
  • Perform eComm controls and participate in project engagements as needed.
  • The ideal candidate will have a client-first oriented mind-set from a financial background, with strong attention to detail, astute problem-solving skills, and highly effective verbal and written abilities.
  • Ability to lead across, contribute positively to a team-focused environment, and drive both growth and innovation.


Skills:

  • Critical thinking skills.
  • Strong communication skills.
  • Strong decision-making skills.
  • Strong Excel (Pivot table and V-lookup are a must).


Dexian is a leading provider of staffing, IT, and workforce solutions with over 12,000 employees and 70 locations worldwide. As one of the largest IT staffing companies and the 2nd largest minority-owned staffing company in the U.S., Dexian was formed in 2023 through the merger of DISYS and Signature Consultants. Combining the best elements of its core companies, Dexian's platform connects talent, technology, and organizations to produce game-changing results that help everyone achieve their ambitions and goals.

Dexian's brands include Dexian DISYS, Dexian Signature Consultants, Dexian Government Solutions, Dexian Talent Development and Dexian IT Solutions. Visit to learn more.

Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.