Compliance Delivery Analyst

Job Summary

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

Key Responsibilities

• Review written communications 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 legal and compliance solutions
• Maintain a knowledge base of common legal and compliance questions and respond to inquiries from regulatory bodies

Required Qualifications

• 2+ years of experience in compliance-related roles
• Ability to handle confidential information and demonstrate accountability
• Experience with Google Workspace
• Must successfully pass the FINRA SIE + S82 + S24 exams within the first year
• Availability to work on Pacific Standard Time (PST)