Compliance Analyst - Trading
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Overview
Remote
On-site
Compensation
$51-$53/hour
Job Description
Our client, a large financial services company, is seeking an experienced Compliance Analyst in the Personal Trading division for a 4+ month contract assignment. This role is fully remote but reside in the US and able to work EST or CST time zone. The Analyst supports the planning for enterprise compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and to prevent illegal, unethical, or improper business practices within the organization. Under limited supervision, this job is to complete Compliance tasks as assigned by Compliance Team leadership, documenting compliance activities and tracking to completion.Key Responsibilities and Duties
- Prepares work to support compliance work and updates electronic tool/system with current status to ensure open issues are properly tracked through to closure.*
- Completes assigned compliance tasks and projects at the direction of the Compliance Team leadership*
- Communicates as needed with users to inquire about data needed (account statements, reasons for compliance breaches, etc.) to complete tasks*
- Utilizes Excel as well as StarCompliance and reports for completion of tasks and tracking individual items to completion.*
- References multiple policies Codes of Ethics and Personal Trading Policies for a variety of businesses within the company to understand requirements based on specific business units and users.*
- Responds to general inquiries from shared mailbox based on specific Codes of Ethics and Personal Trading Policies of each user.
- University degree preferred*
- 3+ years of experience in compliance within financial services; trading preferred*
- Proficient in Excel including basic formulas (e.g. vlookup)*
- Knowledge of compliance software such as StarCompliance or similar.
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FAQs About Compliance Analyst - Trading Jobs at Corps Team
What is the work location for this position at Corps Team?
This job at Corps Team is located in atlanta, GA, according to the details provided by the employer. Some roles may also include multiple work locations depending on the requirement.
What pay range can candidates expect for this role at Corps Team?
Candidates can expect a pay range of $51.12–$53.12 per hour for this role.
What employment applies to this position at Corps Team?
The employer has not provided this information. This may be discussed during the hiring process.
What is the process to apply for this position at Corps Team?
You can apply for this role at Corps Team either through Sonara's automated application system, which helps you submit applications 10X faster with minimal effort, or by applying manually using the direct link on the job page.