Compliance Analyst - Remote from INSPYR Solutions
Los Angeles, CA 90071
About the Job
Title: Compliance Analyst
Location: Remote
Duration: 6+ month contract
Compensation: $25.00-28.00/hr.
Work Requirements: US Citizen, GC Holders or Authorized to Work in the U.S.
If interested please contact Margot Parsons at mparsons@inspyrsolutions.com or call 714-465-5478
Summary
The Compliance Analyst will work closely with the members of a team focusing on regulatory broker-dealer compliance issues concerning monitoring public communications, marketing, licensing/registration, handling customer complaints, recordkeeping requirements, supervision, regulatory filings, etc. The Compliance Analyst will serve as the primary day-to-day contact for the business regarding all broker-dealer-related compliance matters. The Compliance Officer will report to a supervisor with the Wealth Management Broker/Dealer Compliance division.
Responsibilities:
Seeking:
Location: Remote
Duration: 6+ month contract
Compensation: $25.00-28.00/hr.
Work Requirements: US Citizen, GC Holders or Authorized to Work in the U.S.
If interested please contact Margot Parsons at mparsons@inspyrsolutions.com or call 714-465-5478
Summary
The Compliance Analyst will work closely with the members of a team focusing on regulatory broker-dealer compliance issues concerning monitoring public communications, marketing, licensing/registration, handling customer complaints, recordkeeping requirements, supervision, regulatory filings, etc. The Compliance Analyst will serve as the primary day-to-day contact for the business regarding all broker-dealer-related compliance matters. The Compliance Officer will report to a supervisor with the Wealth Management Broker/Dealer Compliance division.
Responsibilities:
- Assist the Wealth Management Broker/Dealer Entities' CCO in conducting one or more of the following responsibilities.
- Analyze marketing material for compliance with regulatory standards including, SEC, FINRA, and MSRB.
- Serve as a resource to internal partners with inquiries regarding business communications.
- Monitor the existing Broker/Dealer compliance programs.
- Monitor, review, and challenge risk assessments and testing of compliance programs.
- Analyze current Compliance functions and suggest enhancements and standardization, where appropriate.
- Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements.
- Perform all necessary functions and management reporting for FINRA Rules 3130.
- Assist in the e-mail review/escalation process and lead internal investigations resulting from such reviews.
- Analyze marketing material for compliance with regulatory standards including, SEC, FINRA, and MSRB.
- Assist with regulatory exams, audits, production of responses to regulatory inquiries; and support of the transfer agent operations.
Seeking:
- Hands on experience with compliance related matters such as Exams, Audits, Control Oversight, 3130 Annual Reviews, Branch Examinations, Employee Compliance Matters, Licensing and Registration matters.
- Strong abilities in analytical thinking, problem-solving, research, and time management
- Must have excellent verbal communication and people skills
- FINRA Series 7 and/or Series 24 licenses are preferred.
Salary
25 - 28 /hour
