Compliance Analyst - Remote

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:

• 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.

24-08571