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Compliance Analyst
1 week ago
- Oversee the compliance aspects of the Vendor Review Process for AE Wealth and AE Financial Services
- Collaborate with various business units and compliance department members to address compliance requirements related to technologies and vendors
- Assist in drafting disclosures for platforms and outputs related to technologies and vendors
- Document the firm's review process for technologies and vendors
- Maintain consistent communication with project managers to ensure alignment on timelines and deliverables
- Work closely with product owners, developers, and other project team members to ensure cohesive collaboration
- Gather, analyze, and prepare data to create comprehensive business reports for senior leadership, highlighting key business trends
- Influence and educate peers on compliance policies and requirements
- Take a proactive approach to identify and resolve issues, aiming for continuous improvement in processes
- Perform other related duties as requested by management
- 2-3 years of experience in project management, business analysis, or process re-engineering
- Proficiency in data and metric reporting
- Strong understanding of compliance requirements related to technologies and vendors
- Aptitude for technology, embracing change, and a desire to learn
- Excellent technical writing and documentation skills
- Strong written and oral communication skills, capable of translating technical terms for business partners with limited technical knowledge
- Ability to independently manage projects and tasks with limited supervision
- Strong organizational skills, with the ability to manage a heavy workload and navigate competing priorities
- High degree of accuracy in a fast-paced environment
- Proficiency in Microsoft Excel
- Background in financial services is preferred, particularly in compliance and/or regulatory management
- Familiarity with FINRA, SEC, and various state regulations
- Proven ability in drafting business procedures, documents, and/or developing training materials
- Skill in writing internal communications for large audiences
- Proficiency in Microsoft Access or other database management systems
- Experience in Smartsheet, Monday.com, or similar project management platforms
- Amazing benefits including medical, dental, vision and 401k (with matching options)
- Generous paid time off package upon your start date
- Access to an on-site cafe, gym and primary care
- Continuous personal and professional development opportunities
- Recognition for hard work & exemplary performance
- Employee sponsored events...and more
Apply for this Position
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