Analyst - Compliance

About the role

The Compliance Analyst assists with broader planning of business unit compliance programs to ensure organization functions are in compliance with all relevant laws, regulations, and policies, and to prevent illegal, unethical or improper business practices within the organization. Working under close supervision, this job assists team members with identifying, investigating, and reporting compliance risks.

What you'll do

• Assists compliance risk assessments to identify compliance issues, concerns and deficiencies
• Supports with invitations in response to complaints and/or potential violates of rules, regulations, policies and procedures
• Performs basic tasks to assist with organization and implementation of compliance audits
• Assists with the design and implementation of corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected
• Prepares reports on the results of compliance and ethics initiatives of the business unit

What you need

• 1–3 yrs of experience
• Compliance
• Investment banking
• Documentation
• SOP writing
• CMA