Compliance Analyst

Contract-to-hire role

Hybrid onsite/Minneapolis

W2/USC only

Compliance Analyst

• Licenses SIE, Series 7TO, Series 63, Series 24 (Series 16, 86/87, 57 also a plus but not required)
• Experience minimum of 3 years Compliance/Supervisory experience. 
• Someone with applicable experience in other parts of the business Equity Sales and Trading, Institutional Brokerage, Equity Research, Investment Banking (some but not all are necessary would need to be able to get up to speed fairly quickly on unfamiliar territory).
• Job Duties
  • Assist CCO with review and implementation of regulatory initiatives, review and interpret rules and guidance, documentation of policies and procedures
  • Assist with daily, weekly, monthly, annual and ongoing reviews and surveillance functions
  • Perform email/ecomm reviews
  • Trading surveillance, CAT/CAIS reviews/reconciliation, Best Ex reviews
  • Assist with administration of Continuing Education, develop training content/administer training
  • Perform Branch Office audits
  • Work with FinTech vendors for onboarding and maintenance of surveillance/data assurance programs
  • Responsible for AML/CIP/KYC Programs ideally would like to hand over the AML CCO title to someone else
  • Attend conferences and industry meetings
  • Assist with Research oversight as needed work with Research Technology vendor on Compliance programs
  • Assist with response to regulatory inquiries and regulatory audits/exams become proficient on regulatory/legal affairs
  • Assist with internal audits, 3120 testing