Role: Compliance Analyst
Location: Hybrid in Jersey City, 3-4 days on site
Duration: Contract through the end of the year
Compensation: $50.00 – 59.00/hr
Work Requirements: US Citizen, GC Holders or Authorized to Work in US

If interested, please contact Margot Parsons at mparsons@inspyrsolutions.com or call 714-465-5478

Summary:
The Compliance Analyst will review a variety of broker/dealer employee compliance requests to ensure that they are in compliance with company policy. These requests include compliance items such as: notification of a new outside business activity/second job; request to purchase securities in a personal account; requests to provide gifts and/or entertainment to clients; and other FINRA required disclosures.

The Compliance Analyst will be responsible for identifying potential policy violations and escalating them appropriately. The Compliance Analyst may participate in resulting investigations and reporting. The Compliance Analyst will report to a supervisor with the Wealth Management Broker/Dealer Compliance division

Seeking:

• Minimum 4 years compliance experience or minimum 5 years banking operations experience.
• Minimum 3 years' experience with Microsoft program.
• Knowledge of FINRA/Broker-Dealer compliance issues, specifically Form U4 reportable items, such as PST, OBA, financial/criminal disclosures, etc.
• Review daily quotas of compliance items for conformance to company policy
• Escalate potential policy violations to management
• Good knowledge of banking operations, government regulations, accounting principles and account reconcilement.
• Excellent problem solving and analytical skills required.
• Excellent verbal and written communication skills required to interact with all levels of Bank personnel and outside contacts.
• College degree required.

25-15025