Compliance Analyst

TPI Global; United States; Remote; USD 75,000 - 190,000; Full time

Job summary

TPI Global is looking for a Compliance Analyst to maintain securities licenses and supervise compliance with firm policies. This remote role requires collaboration with internal teams and oversight for compliance functions. The ideal candidate has FinTech Broker/Dealer experience and holds Series 7, 63, and 24 licenses.

Qualifications

• 3-6 years of experience is ideal.
• Currently holds necessary client licenses.

Responsibilities

• Acts as a registered principal of the broker-dealer maintaining required securities licenses.
• Conducts reviews and triage of customer complaints.
• Assists in drafting and updating compliance policies and procedures.

Skills

FinTech Broker/Dealer experience

Cross functional skills

Education

Series 7 License

Series 63 License

Series 24 License

Job description

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Job Title: Compliance Analyst

Duration: 3+ month contract with potential for extension

Location: 100% Remote

Duties:

• Act as a registered principal of the broker-dealer and be required to maintain the following securities licenses: Series 7, Series 63 and Series 24
• Conduct review and appropriately triage customer complaints from Salesforce reports, including customer complaint logging and escalation investigation
• Create and maintain customer complaint files
• Perform regular reviews of customer and internal communications and evidence supervisory oversight
• Supervise customer and employee activities to ensure compliance with firm policies and regulation
• Test the firm’s record keeping archiving capabilities to ensure records are properly distributed, managed, and archived in the appropriate storage location(s)
• Help support record-keeping program and ensure adherence to Client and SEC record-keeping requirements
• Assist with drafting and updating policies, procedures and other documentation, including documentation shared cross-functionally
• Support the compliance function in executing departmental plans, maintaining relevant policies and procedures, and liaising with auditors as needed
• Provide compliance subject matter expertise to support cross-functional teams
• Support the compliance program to ensure management of corporate and legal obligations, appropriate controls, and adherence to regulatory requirements
• Develop and deliver annual Firm Element training to registered representatives of the broker dealer
• Monitor the firm’s continuing education training program and develop report(s) to illustrate status and deadlines, on a periodic basis
• Other Compliance-related essential functions

Skills:

• FinTech Broker/Dealer experience is a huge plus
• Experience across different work strings and cross functional skills
• 3-6 years of experience would be IDEAL

Education:

• Currently hold Client Licenses: Series 7, Series 63 and Series 24

Seniority level

• Seniority level

  Executive

Employment type

• Employment type

  Contract

Job function

• Job function

  Other and Analyst

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