Base: $59,270.00 - $96,620.00; bonus/equity: not s...
Broker-dealer compliance experience
Us regulatory requirements knowledge
Finra and sec regulations
As a Compliance Analyst I supporting the broker-dealer business, you will be responsible for conducting compliance monitoring, assisting in the preparation of regulatory reports and delivering regular reports on a wide variety of compliance and regulatory matters
Job Summary
As a Compliance Analyst I supporting the broker-dealer business, you will be responsible for conducting compliance monitoring, assisting in the preparation of regulatory reports and delivering regular reports on a wide variety of compliance and regulatory matters.
The regulatory compliance team is responsible for managing compliance obligations for a US FINRA member broker-dealer firm and a UK FCA authorized firm.
At FIS, you can learn, grow and make an impact in your career with a flexible and creative work environment, diverse and collaborative atmosphere, and professional development resources.
Matching Summary
As a Compliance Analyst I supporting the broker-dealer business, you will be responsible for conducting compliance monitoring, assisting in the preparation of regulatory reports and delivering regular reports on a wide variety of compliance and regulatory matters.
Salary
Base: $59,270.00 - $96,620.00; Bonus/Equity: Not specified; Benefits: Not specified
Skills & Requirements
Must-have
Broker-dealer compliance experience
US regulatory requirements knowledge
FINRA and SEC regulations
Suspicious activity review
Bank Secrecy Act knowledge
Nice-to-have
Proactive risk identification
Collaborative team environment
Fast-paced work capability
Attention to detail
Key Requirements
2-4 years financial services compliance experience