Senior Compliance Analyst at Clio focusing on compliance program automation and risk management initiatives. Collaborating with cross - functional teams to enhance compliance effectiveness.
About the role
- ACA Foreside Supervision Analyst responsible for compliance with regulations and policies. Reviewing communications and ensuring adherence to regulatory standards during inspections and audits.
Responsibilities
- Use independent judgement and discretion to ensure all Registered Representatives adhere to regulatory standards
- Review electronic communications sent and received by registered representatives
- Confirm compliance with policies and procedures and document escalations
- Utilize third party system to review social media for compliance
- Liaise with internal Supervision counterparts to finalize comments
- Work under pressure and time constraints to ensure regulatory deadlines are met
- Assist with various system related tasks
Requirements
- Bachelor’s degree or equivalent work experience
- Minimum 3 years of relevant work experience, preferably in financial services
Benefits
- Equal opportunity employer that values diversity
- Various programs promoting inclusivity
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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