Overview Our client is looking to fill their Senior Compliance Analyst role and they're in need of someone who has a deep knowledge of SEC and FINRA regulations to cover their business. Location(s) Available: Chicago, IL / Greenwich, CT / Ft Lauderdale, FL Base pay range: $100,000.00/yr - $130,000.00/yr Salary: $100-$130k base w/ 20% bonus Responsibilities Support compliance coverage of the firm’s technology and data enterprise, and coverage for broker-dealer clients Design periodic and adhoc supervisory reports and complete associated reviews Engage with stakeholders across technology and operations teams and support them in an advisory capacity Implement internal control enhancements and appropriately solution potential compliance matters Assist draft business specifications to create and improve surveillance and compliance tools Assist coordinate responses to regulatory inquiries from foreign and US regulators Draft and implement firm policies, controls and written supervisory procedures Qualifications 5+ years’ experience with a broker-dealer, investment manager or regulator Solid academic background with a Bachelors or Masters in Finance, Computer Science, Data Sciences or Information Systems preferred Working knowledge of SEC, FINRA, CFTC, CME, NFA, US and foreign regulations relevant to the areas of coverage Strong working knowledge of industry standards from NIST, ISO, COBIT, ISACA, EDM, etc. High degree of comfort and fluency with computers and technology, and an understanding of how technology is applied to business and regulatory problems. Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision Knowledge of information systems, software development, UNIX, SQL, Perl and databases is a plus Seniority level Mid-Senior level Employment type Full-time Job function Finance #J-18808-Ljbffr Solomon Page
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