Compliance Analyst

Job Summary

A company is looking for a Delivery Analyst to support compliance and legal operations.

Key Responsibilities

• Review written communication and user transaction documents for compliance with FINRA requirements
• Assist in compliance due diligence and KYC/AML-related tasks, and support account management teams with compliance solutions
• Maintain a knowledge base of legal and compliance questions and contribute to the digital transformation of legal and compliance functions

Required Qualifications

• 2+ years of experience in compliance-related roles
• Ability to handle confidential information and demonstrate strong organizational skills
• Experience with Google workspace
• Must pass FINRA SIE + S82 + S24 exams within the first year
• Flexible and able to work in a fast-paced environment with shifting priorities