Compliance Analyst
Denver, Florida, United States of America
Full Time
4 weeks ago
$55,000 - $90,000 USD
No Visa Sponsorship
Key skills
CommunicationTime Management
About this role
Role Overview
- Perform compliance audits and assessments to identify potential risks and areas for improvement.
- Assist in the preparation of test planning memoranda.
- Identify and evaluate key risks and contribute to establishing test scope.
- Lead walkthrough meetings and discussions with the purpose of developing test scope and identifying control issues.
- Develop and execute tests in line with monitoring and testing procedures.
- Appropriately assess potential findings for significance and root cause.
- Prepare test reports articulating clear and concise findings.
- Communicate test findings to testing management and business partners.
- Collaborate with business lines to develop remediation plans to resolve control weaknesses identified through testing.
- Track implementation of recommended remediation plans designed to strengthen internal controls to completion as well as perform validation testing of new or updated controls.
- Conduct targeted investigations in connection with special requests from management or related to issues uncovered in daily surveillance.
- Perform surveillance of electronic communications to ensure compliance with company policies and applicable regulations.
- Escalate exceptions to business and Compliance management along with supporting documentation.
- Work to improve efficiency of rule sets through observation and testing.
- Prepare metrics for monthly and quarterly reporting.
- Develop and maintain strong working relationships with Business, Compliance, Legal and Risk groups.
- Monitor and stay current on relevant laws, regulations, and industry standards.
- Prepare and maintain accurate records and documentation related to compliance and operational activities.
- Perform other duties and responsibilities as assigned.
Requirements
- Bachelor's degree in business, finance, or a related field.
- 2 + years of Financial Services Industry experience (Registered Investment Adviser experience a plus)
- Previous experience in compliance, audit, risk or a related role.
- Understanding of regulatory requirements and industry standards (i.e. Investment Advisors Act of 1940, Rule 206(4)-7, and federal securities laws).
- Excellent analytical and problem-solving skills.
- Proficiency in data analysis and reporting tools (e.g., Excel, data visualization software).
- Strong Interview, presentation, written communication, time management, organizational and analytical skills.
- Detail-oriented.
- Enthusiastic, self-motivated.
- Experience with Schwab Advisor Center (SAC) and Fidelity Wealthscape a plus.
- Experience with Portfolio Management software and data downloads a plus.
- Experience with Global Relay a plus.
Benefits
- 401(k) Plan with Employer Matching
- Four Medical Plan options that is generously subsidized by Corient
- Employer paid Dental, Vision & Life and AD&D Insurance
- Employer paid Short-term & Long-term Disability
- Paid Maternity & Parental Leave
- Flexible Spending Accounts & Health Savings Accounts
- Dependent Care FSA
- Commuter & Transit FSA
- Corporate Discount Program
- Perkspot
- Training Reimbursement
- Paid Professional Designations
- Giving back to the community
- Volunteer days