Junior Compliance Analyst
3 weeks ago
Title: Junior Compliance Analyst
Location: Baltimore, MD
Remote/Hybrid/Onsite: Hybrid: 3 days on site per week
Position Type: Contract, possible temp-to-perm.
Duration: 12+ months
Rate: $24.00 - $26.00/hr.
RESPONSIBILITIES:
The position will be responsible for supporting all aspects of the registration and licensing processes to ensure that the regulatory requirements for the Firm and its registered employees are compliant. The individual will also be responsible for helping to maintain registration records and procedures; assist with the review and interpretation of disclosure records for current and prospective employees; and ensure licensing requirements for all registered employees have been satisfied.
Other related responsibilities include:
-Develop, maintain or enhance securities licensing processes and procedures
-Respond to regulatory and registration requests
-Support process workflows and the systems utilized to associate registered individuals
-Handle resolution of escalated matters
-Assist with targeted projects and support strategic initiatives
QUALIFICATIONS:
-Education level: Bachelor's Degree or higher
-Legal and/or Compliance experience preferred
-Familiar with Microsoft platform tools (Outlook, Excel, PowerPoint, etc.)
-Must be highly organized, detailed oriented, and comfortable working both independently and within a team environment
-Must be self-motivated, driven, proactive, and possess strong communication and analytical skills
-Must be able to manage multiple tasks and prioritize workflow with minimal supervision
If you believe you're a suitable fit for this position, please apply directly with your most updated resume. Our organization values effective communication, although it's important to understand that we may not always be able to provide application updates to every candidate. If, following a review of your profile, we identify you as a potential match, a recruiter will contact you directly to discuss your candidacy.
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