Compliance Analyst

Job Summary

A company is looking for a Compliance Analyst to assist with compliance and regulatory matters for financial services firms.

Key Responsibilities

• Assist financial services firms with regulatory obligations and filing requirements
• Process applications and coordinate with regulators for firm registrations
• Utilize proprietary software and collaborate with internal teams to resolve customer matters

Qualifications

• Experience with FINRA/IARD, WebCRD, and SEC's EDGAR system is a plus
• Proficient in Microsoft Office Suite and ideally Salesforce
• Ability to multitask across multiple projects
• Exceptional organizational and time management skills
• Ability to work effectively in a client service-oriented environment