Compliance Operations Analyst | Project Based For 5 months

Compliance Operations Analyst

Specifically, the Security and Compliance Operations Analyst will

• Be responsible for review of all Marketing material/investor communication material shared by the customer, adhering to regulatory requirements including Advertisement Rules of the U.S. SEC, FINRA and internal guidelines of the firm.
• Provide necessary markups, comments, and suggestions to content and required disclosures of each material, in reference to regulatory and firm standards.
• Keep track of and provide regular updates about regulatory changes and the applicability/ impact assessment for the given situation.
• Develop and share creative review strategies to improve output and accuracy and focus on areas of greatest risk.
• Develop and review process documentation.
• Identify any areas requiring clarification or refresher training and identify controls that need to be put in place.
• Participate in preparing Periodic Governance Reports with the customer.
• Review and revise reports timely and accurately before they are sent out to the customer.
• Attend weekly client calls to raise clarifications/updates regarding policies and review process.

Experience

• 2-3 or more years of relevant experience
• Have experience working with legal reviews/due diligence programs
• Experience creating technical compliance workflows and detailed playbooks
• Able to assist in developing and implementing processes to mitigate risks.
• Knowledge of FCPA, FINRA regulations, and SEC compliance policies

Skills for Success

• Are detail-oriented
• Have strong investigation skills
• Are a self-starter
• Have a low threshold for risk
• Not afraid to ask questions and are determined in finding the answers you need
• Possess strong problem-solving skills
• Are comfortable in a fast-paced, rapidly changing work environment
• Are independent, capable of multi-tasking and a decision make

• Bachelor's Degree required
• Exposure/Specialization in Finance as well as Legal domain; preferably law graduate
• Financial or Compliance qualifications preferred - Registered Representative, Series 24, 7, or 63, ICA Compliance Diplomas