Intermediate Compliance Analyst - Conflicts Review - Hybrid

Responsibilities

• Perform updates to employee conflicts reporting system to ensure access.
• Regularly monitor tasks to ensure data accuracy and timely completion in the conflicts reporting system.
• Approve ethics and conflict of interest disclosures with some assistance from more senior team members.
• Identify process improvement opportunities and recommend updates.
• Collaborate with business partners to resolve straightforward compliance cases as assigned.
• Stay informed about regulatory updates and assist with updating procedures as directed.
• Participate in the gathering of data and preparation of responses to information requests from management, auditors, and regulators.
• Protect the confidentiality and integrity of sensitive information in all compliance activities.

Qualifications

• Bachelor’s degree in business, marketing, pre-law, or other field, or equivalent education and experience.
• Two years of regulatory, securities, or ethics-related experience.
• Series 7 & 24 licenses or the ability to obtain both within 9 months.
• Written and verbal communication skills.
• Analytical and research skills.
• Proficiency using MS Office tools.

Preferred Qualifications

• Experience with data analytics software such as Power BI preferred.

Compensation

The Salary for this position generally ranges between $60,000 - $75,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law. Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.