Perform updates to employee conflicts reporting system to ensure access.
Perform regular monitoring tasks to ensuring data accuracy and timely task completion in the conflicts reporting system.
Approve ethics and conflict of interest disclosures with some assistance from more senior team members.
Identify process improvement opportunities and recommend updates
Work collaboratively with business partners to help resolve straightforward compliance cases as assigned.
Stay informed about regulatory updates and assist with updating procedures as directed.
Participate in the gathering of data and preparation of responses to information requests from management, auditors and regulators.
Protect the confidentiality and integrity of sensitive information in all compliance activities.

Bachelor’s degree in business, marketing, pre-law or other field, or equivalent education and experience.
Two years of regulatory, securities, or ethics-related experience.
Series 7 & 24 licenses or the ability to obtain both within 9 months
Written and verbal communication skills.
Analytical and research skills.
Proficiency using MS Office tools.
Experience with data analytics software such as Power BI preferred

Competitive Pay
Bonus for Eligible Employees
Benefits Package
Pension Plan
401k Match
Employee Stock Purchase Plan
Tuition Reimbursement
Disability Insurance
Medical Insurance
Dental Insurance
Vision Insurance
Employee Discounts
Career Training & Development Opportunities
Health and Work/Life Balance Benefits
Paid Time Off starting at 160 hours annually for employees in their first year of service.
Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
Adoption Assistance
Employee Assistance Program
Back-Up Care Program
PTO for Volunteer Hours
Employee Matching Gifts Program
Employee Resource Groups
Inclusion and Diversity Programs
Employee Recognition Program
Referral Bonus Programs

Intermediate Compliance Analyst – Conflicts Review

Key skills