Job Summary: We are seeking a meticulous and detail-oriented Financial Compliance Analyst to join our compliance team. As a Financial Compliance Analyst, you will be responsible for ensuring adherence to regulatory standards, policies, and procedures within our organization. Your role will involve conducting audits, monitoring transactions, and providing recommendations to mitigate compliance risks and uphold ethical practices.
Roles And Responsibilities
Conduct compliance reviews and audits to assess adherence to regulatory requirements, internal policies, and industry standards.
Monitor and analyze financial transactions, activities, and processes to detect potential compliance issues or irregularities.
Develop and implement compliance monitoring programs, controls, and procedures to mitigate risks and enhance compliance efforts.
Provide guidance and support to internal stakeholders on compliance-related matters, including regulatory changes and requirements.
Collaborate with legal, risk management, and internal audit teams to address compliance issues and implement corrective actions.
Prepare reports, findings, and recommendations for management and regulatory authorities regarding compliance activities and initiatives.
Conduct training sessions and workshops for employees on compliance policies, procedures, and best practices.
Stay informed about changes in regulatory requirements, industry trends, and best practices related to financial compliance.
Assist in responding to inquiries and requests from regulatory agencies and external auditors during examinations or investigations.
Participate in special projects and initiatives related to compliance enhancements, system implementations, or process improvements.
Skills Required
Strong understanding of financial regulations, compliance frameworks, and regulatory requirements (e.g., SEC, FINRA, GDPR).
Analytical mindset with the ability to interpret complex regulatory issues and provide practical solutions.
Excellent attention to detail and organizational skills in conducting audits and compliance reviews.
Effective communication skills, both verbal and written, for interacting with stakeholders and presenting compliance findings.
Ability to work independently and collaboratively in a team environment.
Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint) and compliance monitoring tools/software.
Ethical behavior and professionalism in handling confidential and sensitive information.
Compensation
Competitive salary based on experience and qualifications.
Performance-based bonuses and incentives tied to compliance achievements and risk mitigation efforts.
Comprehensive benefits package including health insurance, retirement plans, and professional development opportunities.
Seniority level
Associate
Employment type
Full-time
Job function
Legal
Industries
Financial Services
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