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Compliance Analyst
Ref No.: 18-01409
Location: Charlotte, North Carolina
Seeking an individual to support the Compliance department in employee management including onboarding / offboarding, systems provisioning, regulatory filings, and documentation. The role primarily involves processing and maintenance through data entry, records retention, and review of items produced to ensure conformance to enterprise methodology and regulatory requirements. Communication skills are vital as the role will require internal and external written correspondence, emails, and phone interactions.

Job Responsibilities
  • Knowledge of the rules and requirements applicable to Client, SEC, CFTC, etc.
  • Process internal requests for systems access approval and provisioning.
  • Assist in maintenance of employee records and supervisory structure.
  • Ensure adherence to documentation and retention processes and requirements.
  • Review onboarding documentation for completion and identify matters which require additional review.
  • Perform compliance tasks pertaining to documentation, reporting, etc. May assist in monitoring regulatory issues. Follows established guidelines and procedures
  • Stay apprised of regulatory matters and developments through regular review of appropriate compliance publications, websites, and by participating in relevant training events
  • Applies knowledge of company policies and standard practices to resolve problems
  • Analyzes issues and uses judgment to make decisions and escalate non-standard problems or issues
  • Conduct ad hoc research as required
  • Miscellaneous duties as assigned

  • Education level: Bachelor's Degree or higher
  • Total years and type of prior related experience: 2+ years of experience in compliance (related to onboarding/offboarding, systems provisioning, regulatory filings, and documentation)
  • Client Series 7 license preferred
  • Effective oral and written communication skills
  • Ability to handle multiple assignments and adjust to frequently changing priorities, while completing tasks and projects under tight deadlines
  • Proactive mindset in problem-solving, identification and resolution
  • Ability to work independently and self-motivated
  • Results oriented team player
  • Highly organized, detailed and able to stay on top of matters requiring follow up
  • Basic data entry and PC skills, MS Office, Salesforce