Sr Compliance Analyst
Trusted licensing and registration expert to Field members and Corporate business partners by providing thorough, accurate and timely responses to FINRA and state regulator disclosure inquiries. Manage or support end-to-end firm, department or team project initiatives including data and risk report development. Execute on the GCO Framework in roles as Expert, Connector, Problem Solver and Risk Manager. Responsibilities
• Responding to inquiries from FINRA and state securities regulators.
• Reviewing disclosure related documentation and providing guidance on disclosure reporting requirements.
• Developing analytic reporting to communicate operational metrics and risk indicators to leadership and business partners.
• Assessing business processes for automation development leading to efficiency improvement.
• Leading Licensing and Registration projects that require cross-organizational partnership with business partners.
• Research applicable laws and regulations, and analyze their effect on policy, requiring working knowledge of laws, regulations and internal policies related to Compliance. Required Qualifications
• Bachelors Degree or equivalent
• 3-5 years of experience
•Excellent verbal and written communication skills.
• Highly organized and structured.
• Ability to effectively manage multiple priorities and meet aggressive deadlines.
• Expertise with Microsoft products which could include data visualizations tools such as Power BI
• Strong analytical skills and attention to detail.
• Ability to analyze process gaps and recommend process improvements.
• Comfortable in responding to senior leader requests for information and answering questions.