24 Compliance Analyst Jobs in Dallas, TX
EQUITY ADMINISTRATIVE SERVICES INC AND AFFILIATES is Hiring a Compliance Analyst Near Dallas, TX
Job Details
Description
JOB OVERVIEW
The Compliance Analyst supports the ETC Brokerage Chief Compliance Officer (CCO) with a strong understanding of regulatory frameworks within the financial services sector. Maintains a strict adherence to all pertinent regulations and internal protocols governing operations to ensure the Company remains compliant with outside obligations and internal compliance policies. Manages internal and external compliance obligations, monitors compliance-related projects, and ensures the implementation of recommended corrective action plans.
RESPONSIBILITIES & DUTIES
- Assists in conducting regular reviews of trading activities, customer accounts, and operational processes to ensure compliance with SEC, FINRA, and other regulatory requirements.
- Provides training and guidance to employees on compliance policies, regulations, and best practices to foster a culture of compliance awareness throughout the organization.
- Assists in the regular maintenance of compliance policies and procedures to mitigate regulatory risks and ensure adherence to industry standards.
- Assists in the preparation and submission of regulatory filings and disclosures, such as Form U4, Form ADV, and other required reports to regulatory authorities.
- Assists with pre and post hiring activities, such as pre hire checks, outside business activity reviews, personal trading approvals, and account statement and trade confirmation reviews.
- Works closely with other departments, including Legal, Risk Management, Operations, and Trading, to address compliance-related issues and facilitate effective communication and coordination.
- Stays abreast of regulatory developments, industry trends, and best practices in compliance management to ensure that the organization remains proactive in addressing regulatory changes.
- Performs other duties as assigned
QUALIFICATIONS
- Minimum 5 years of experience in a broker-dealer or investment bank
- Bachelor’s degree in finance, business administration, or related field preferred
- Strong knowledge of FINRA, SEC, and state rules and regulations governing broker-dealers and securities trading
PROFESSIONAL CERTIFICATIONS
- SIE and Series 7 license (must obtain within 6 months of hire)
TECHNICAL SKILLS
To be successful in this role, you should have experience with and an understanding of the following:
- Intermediate-level proficiency in Microsoft Office
CULTURAL COMPETENCIES
In addition to our core company competencies of Cultivates Innovation, Nimble Learning, Action Oriented, Collaborates, and Being Resilient, a successful candidate in this role should exhibit the following behavioral competencies:
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PHYSICAL DEMANDS/WORK ENVIRONMENT
This job operates in a professional office environment and routinely uses standard office equipment. While performing the duties of this job, the associate is regularly required to speak and hear. The associate is frequently required to sit for extended periods of time, as well as stand, walk, use hands and fingers, and reach with hands and arms. This job requires the ability to lift files, open filing cabinets, and bend or stand on a stool as necessary.
DISCLAIMER/ASSOCIATE ACKNOWLEDGEMENT
The above statements describe the general nature and level of work only. They are not an exhaustive list of all required responsibilities, duties, and skills. Other duties may be added, or this description amended at any time.
Equity Trust Company is an equal opportunity at will employer and does not discriminate against any employee or applicant for employment because of age, race, religion, color, disability, sex, sexual orientation, or national origin. If you have a disability that requires accommodation or paper application, please contact us at careers@trustetc.com.
Qualifications
Job Summary
Other
$85k-107k (estimate)
05/22/2024
07/21/2024
The job skills required for Compliance Analyst include Risk Management, Microsoft Office, Financial Services, Trading, Compliance Management, etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Analyst. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Analyst. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Compliance Analyst positions, which can be used as a reference in future career path planning. As a Compliance Analyst, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Analyst. You can explore the career advancement for a Compliance Analyst below and select your interested title to get hiring information.
If you are interested in becoming a Compliance Analyst, you need to understand the job requirements and the detailed related responsibilities. Of course, a good educational background and an applicable major will also help in job hunting. Below are some tips on how to become a Compliance Analyst for your reference.
Step 1: Understand the job description and responsibilities of an Accountant.
Quotes from people on Compliance Analyst job description and responsibilities
Compliance analysts can help ensure that your organization's products or processes meet compliance specifications.
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They can audit members of professional organizations to determine whether they meet the standards set by the organization.
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Most of them contribute to security designs through acquisitions and/or system developments to deliver and maintain a compliant system.
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Help companies remain compliant with regulations, thus preparing them for audits.
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The compliance analyst has a duty to maintain legal and regulatory compliance by researching, analyzing, and communicating regulatory requirements and obtaining the appropriate approvals.
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Step 2: Knowing the best tips for becoming an Accountant can help you explore the needs of the position and prepare for the job-related knowledge well ahead of time.
Career tips from people on Compliance Analyst jobs
Every compliance analyst has slightly different duties, tasks, and responsibilities due to varying job descriptions.
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Smaller organizations still focus on having a single compliance specialist rather than a complete department.
01/25/2022: Santa Cruz, CA
Sometimes, the compliance analyst works along with the compliance head and other compliance officers.
01/26/2022: Denver, CO
Ability to accurately complete applications for compliance certification.
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Get Certifications and Continue Learning.
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Step 3: View the best colleges and universities for Compliance Analyst.
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