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Compliance Analyst
2 months ago
Compliance Analyst Job Description
Overview:
We are looking for a proactive Compliance Analyst to join our team. The Compliance Analyst will ensure that our operations align with regulatory standards and internal policies, supporting financial advisors in managing client investments.
Key Responsibilities:
- Regulatory Monitoring
- Policy Implementation
- Risk Assessment
- Audit and Review
- Incident Management
- Training and Education
- Reporting
- Collaboration
Qualifications:
- Education: Bachelor’s degree in Law, Business Administration, Finance, or related field.
- Experience: Previous compliance role in the financial services industry, with a focus on platform-based financial services preferred.
Skills:
- Strong grasp of financial regulations and compliance requirements
- Exceptional analytical abilities and attention to detail
- Proficiency in interpreting and applying complex regulatory frameworks
- Excellent communication and interpersonal skills
- Familiarity with compliance management software and tools
- Experience with transaction processing and account management systems is advantageous.
Preferred Qualifications:
- Professional certification (e.g., Certified Compliance & Ethics Professional, Certified Regulatory Compliance Manager).