Senior Compliance Analyst - Investor Services (Remote)

Talentify.io; United States; Remote; USD 80,000 - 100,000; Full time

Job summary

An innovative firm in the financial services sector is seeking a dynamic leader to oversee compliance and analytics. This role offers the chance to guide a team while ensuring adherence to regulatory standards. With a focus on career growth and remote work flexibility, you'll engage in meaningful work that impacts the organization and its associates. If you have a strong background in financial compliance and a passion for leadership, this opportunity is perfect for you.

Benefits

Comprehensive benefits program

Remote work flexibility

Career advancement opportunities

Qualifications

• Bachelor's Degree with 4 years of experience in Analytics or Financial Compliance.
• Valid FINRA Series 7 & 24 certifications required.

Responsibilities

• Lead daily workload oversight and serve as a resource for regulatory exams.
• Investigate unusual activities to ensure compliance with laws and regulations.

Skills

Leadership

Data Analysis

Regulatory Compliance

Communication

Education

Bachelor's Degree in a relevant field

High School Diploma/GED with relevant experience

Job description

Employer Industry: Financial Services

Why consider this job opportunity:
- Salary up to $100,000
- Comprehensive benefits program designed to support associates and their families
- Opportunity for career advancement and growth within the organization
- Remote work flexibility available
- Leadership role providing guidance to less experienced analysts
- Engaging work environment with opportunities for industry involvement

What to Expect (Job Responsibilities):
- Provide leadership and oversight of daily workload for the workgroup, serving as the first resource for regulatory exams and audits
- Lead the investigation of unusual activities or flagged documentation to ensure compliance with applicable laws and regulations
- Source, validate, and interpret data, analyzing for discrepancies and risks while effectively communicating findings
- Maintain expert knowledge of relevant laws and regulations, providing training and support to less experienced associates
- Compile and ensure the accuracy and completeness of documentation for compliance reviews, producing reports on risks and trends

What is Required (Qualifications):
- Bachelor's Degree and 4 years of experience in Analytics or Financial Compliance/Regulatory environment, or High School Diploma/GED and 8 years of relevant experience
- Valid FINRA Series 7 & 24 certifications

How to Stand Out (Preferred Qualifications):
- FINRA Series 63, 65, or 66 certifications

#FinancialServices #Compliance #RemoteWork #CareerGrowth #LeadershipOpportunity

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