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Compliance Analyst
4 weeks ago
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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