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Securities Compliance Analyst

2 months ago

New York, New York, United States Randstad Full time

Securities Compliance Analyst – Contract Position - REMOTE

Background in Finance or Related Fields.

Key Responsibilities:

 Oversee examinations of varying risk levels with moderate oversight.

 Conduct thorough discovery and risk assessments of moderate complexity.

 Act as a guide and mentor for junior team members.

 Independently interview personnel from firms.

 Collect regulatory insights utilizing internal systems.

 Review and assess firm documentation (financial records, transaction logs, correspondence, etc.) and operational systems.

 Identify discrepancies, observations, and pertinent findings.

 Complete essential training programs.

 Engage in discussions with firms.

 Ensure that regulatory initiatives align with departmental objectives and the overarching mission efficiently.

Education and Experience Requirements:

 A Bachelor’s Degree or equivalent experience is required, preferably in Accounting, Finance, Economics, Business Administration, or similar fields. Advanced degrees or certifications are advantageous.

 Significant experience in securities, compliance, or financial regulation is preferred.

 Familiarity with merger and acquisition activities, private placements, and public finance is beneficial but not mandatory.

Knowledge Requirements:

 In-depth understanding of FINRA's risk principles.

 Comprehensive knowledge of securities regulations.

 Strong grasp of various business models, product offerings, and customer demographics within firms.

 Awareness of all major regulatory domains and their corresponding requirements.

 Understanding of internal policies and protocols.

Skill Requirements:

 Proficient in conveying complex issues through both verbal and written communication.

 Strong analytical, research, and critical thinking abilities.

 Skilled in utilizing internal resources effectively.

 Capable of managing time efficiently and completing tasks within set deadlines.

 Ability to identify and prioritize risks effectively.