Associate Compliance Analyst

Job Description:

Associate Compliance Analyst - eMonitoring

As a member of the Social Media and eCommunications team, the Associate Compliance Analyst has the responsibility of reviewing and acting on all alerted messages requiring review from the eMonitoring system for any licensed Broker Dealer, Investment Advisor or Broker Dealer Affiliated associates. Reviewing and acting on alerted messages will include analysis and evaluation of that message and recommendation for resolution. Further responsibilities include identification and follow up on any system opportunities for improvement or maintenance. Continual training and improvement of process and procedures is ongoing.

The Expertise You Have

• Strong problem solving and data analytical skills
• Ability to work independently towards team goals by managing individual workload
• Positive attitude and goal-driven
• Strong written, and interpersonal communication skills
• Experience working on or within an environment that may include investigations, audit, regulatory, risk or compliance is a plus

• You're a problem-solver and inspire creative solutions
• You have an unwavering commitment to accuracy and quality
• You apply sound judgment to spot issues, assess risks, and identify items requiring escalation
• You possess excellent organizational, operations, and process management skills
• You can handle multiple tasks and priorities simultaneously
• You are able to overcome unexpected obstacles with little or no supervision
• You thoughtfully and efficiently drive tasks to completion
• You have an excellent attention to detail and ability to communicate defects clearly with relevant information

• Able to work collaboratively, working with other team members to identify, resolve and address issues
• Assisting with developing and revising new or existing processes to meet business requirements and communicating internally within the department
• Performing various administrative duties, including creation and maintenance of metrics and data
• Analyzing Compliance requirements and rules to determine if potential business impact exists and escalating as appropriate
• Maintaining strong working relationships with peers and managers within and across compliance teams (internally focused)