Compliance Analyst/Specialist - Mid-Level (3-5 years)

"All candidates must be directly contracted by ASK Consulting on their payroll and cannot be subcontracted. We are unable to provide sponsorship at this moment".

Job Title: Compliance Analyst

Location: Lone Tree, CO 80124 (ONSITE)

Duration: 12 months contract

Pay rate: $40-42/hr on W2

Job Description:

• Responsible for providing strategic advice and recommendations regarding client's business policies, rules and regulations. Ensures the policies and procedures are continually monitored and evaluated. Working knowledge of basic regulatory frameworks, general regulatory and internal control requirements as well as industry knowledge in all aspects of compliance. Must have experience crafting policies and procedures as well as evaluating processes and creating written documentation to describe them. Strong leadership skills, impeccable integrity and be highly organized and focused on delivering results. Experience in analysis and reporting is critical as is having a deep working knowledge of various financial products and services. Requires direct compliance experience in a retail brokerage environment. Experience dealing with regulatory agencies (SEC and FINRA) is required. Must have the ability to use independent judgment and decision making and be able to demonstrate a high degree of integrity in all interactions and have sound professional judgment. Strong knowledge of MS Office Suite and Outlook is required. Series 7, Series 24 and/or Series 66 licenses preferred.

Primary responsibilities will include:

• Process business-as-usual workflow as assigned by senior team manager, to include data entry, recordkeeping, review and validation work.
• Track daily activities and stats, and report to senior team manager.
• Conduct daily reconciliation of operational workflows
• Other business operational tasks as identified and delegated by senior team manager.
• Strong planning and organizational skills; ability to manage multiple projects that vary in scope and complexity simultaneously.
• Possess confidence, diplomacy and strong interpersonal skills.
• Team player with strong work ethic and high sense of urgency who is able to work well alone as well as with others on any given project/assignment. Self-starter, proactive entrepreneurial spirit, curious with a can-do demeanor and the ability to learn quickly and thrive in a complex, dynamic environment.
• 3-5 years of relevant experience within financial services; relevant risk management, compliance, supervision or audit experience preferred. Bachelor degree or equivalent combination of education and related work experience highly desirable.
• Strong knowledge of Microsoft Excel, Word, PowerPoint, and Adobe PDF required

About ASK: ASK Consulting is an award-winning technology and professional services recruiting firm servicing Fortune 500 organizations nationally. With 5 nationwide offices, two global delivery centers, and employees in 42 states-ASK Consulting connects people with amazing opportunities

ASK Consulting is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all associates.