Job Description

Overview

Our client is looking to fill their Senior Compliance Analyst role and they're in need of someone who has a deep knowledge of SEC and FINRA regulations to cover their business.

Location(s) Available: Chicago, IL / Greenwich, CT / Ft Lauderdale, FL

Base pay range: $100,000.00/yr - $130,000.00/yr

Salary: $100-$130k base w/ 20% bonus

Responsibilities

Support compliance coverage of the firms technology and data enterprise, and coverage for broker-dealer clients
Design periodic and adhoc supervisory reports and complete associated reviews
Engage with stakeholders across technology and operations teams and support them in an advisory capacity
Implement internal control enhancements and appropriately solution potential compliance matters
Assist draft business specifications to create and improve surveillance and compliance tools
Assist coordinate responses to regulatory inquiries from foreign and US regulators
Draft and implement firm policies, controls and written supervisory procedures

Qualifications

5+ years experience with a broker-dealer, investment manager or regulator
Solid academic background with a Bachelors or Masters in Finance, Computer Science, Data Sciences or Information Systems preferred
Working knowledge of SEC, FINRA, CFTC, CME, NFA, US and foreign regulations relevant to the areas of coverage
Strong working knowledge of industry standards from NIST, ISO, COBIT, ISACA, EDM, etc.
High degree of comfort and fluency with computers and technology, and an understanding of how technology is applied to business and regulatory problems.
Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision
Knowledge of information systems, software development, UNIX, SQL, Perl and databases is a plus

Seniority level

Mid-Senior level

Employment type

Full-time

Job function

Finance

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Job Tags

Full time,

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