Compliance Analyst

U.S. Bank

Unknown, Unknown, USA
Base: $92,820.00 - $109,200.00; bonus/equity: not ...
Personal trading compliance
Monitoring employee trading activity
Code of ethics compliance
The Compliance Analyst will serve as a shared services liaison specializing in personal trading compliance within a regulated financial services environment

Job Summary

  • The Compliance Analyst will serve as a shared services liaison specializing in personal trading compliance within a regulated financial services environment.
  • Key responsibilities include administering and monitoring the firm’s personal trading compliance program, reviewing personal trading alerts, and supporting ongoing compliance with the firm’s Code of Ethics and applicable SEC and FINRA requirements.
  • Our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind.

Matching Summary

The Compliance Analyst will serve as a shared services liaison specializing in personal trading compliance within a regulated financial services environment.

Salary

Base: $92,820.00 - $109,200.00; Bonus/Equity: Not specified; Benefits: Comprehensive benefits package

Skills & Requirements

Must-have

  • personal trading compliance
  • monitoring employee trading activity
  • Code of Ethics compliance
  • SEC and FINRA requirements
  • shared services liaison
  • analytical reviews of trading data

Nice-to-have

  • detail-oriented and organized
  • clear communication skills
  • critical-thinking skills
  • comfort in regulated environment

Key Requirements

  • Bachelor's degree or equivalent work experience
  • More than five years of applicable experience
  • FINRA Series 6 or 7, and Series 63 registration/licensure (or ability to obtain)
  • Experience in financial services, compliance operations, risk management
  • Demonstrated analytical review and data validation experience

Work Rights

Not specified

Tailored Resume

Cover Letter