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Position Type :
Full timeType Of Hire :
Experienced (relevant combo of work and education)Education Desired :
Bachelor of Business AdministrationTravel Percentage :
5 - 10%Job Description
As the world works and lives faster, FIS is leading the way. Our fintech solutions touch nearly every market, company and person on the planet. Our teams are inclusive and diverse. Our colleagues work together and celebrate together. If you want to advance the world of fintech, we’d like to ask you: Are you FIS?
About the role:
The Firm is a registered broker-dealer providing electronic network broker-dealer services to institutional clients. A unique business model that includes technology services in a regulated environment. As a Compliance Analyst I supporting the broker-dealer business, you will be responsible for conducting compliance monitoring, assisting in the preparation of regulatory reports and delivering regular reports on a wide variety of compliance and regulatory matters, and helping develop compliance policies and procedures.
What you will be doing?
In this role you will track, review and communicate pending and passed regulations, agency guidelines or directives to impacted lines of business and assist in setting priorities for regulatory issues that must be addressed by the business.
Support and assist in regulatory filing requirements for associated persons including, but not limited to SEC, FINRA and the registration and maintenance of such requirements
Assist with securities registration/licensing and continuing education tracking
Conduct reviews of data for suspicious activity or unusual patterns
Review ongoing activity against the relevant regulations including the Bank Secrecy Act
Conduct reviews of communications and activities of associated persons for compliance with applicable laws and regulations
Contribute to the analysis, identification and evaluation of risks, industry initiatives, industry best practices and surveillance of client activity
Research and liaise with the compliance team regarding the regulatory impact of rule proposals and final rules and regulations
Assist in the administration and implementation of policies and procedures to ensure compliance with all applicable laws and regulations
Assist in internal and external examinations including, but not limited to, FINRA, SEC and on-site internal and external audits
Other duties as assigned
What you will need:
2-4 years of financial services compliance experience at a broker-dealer or similar financial institution is required
Knowledge of US regulatory requirements; an understanding of brokerage operations and compliance
Ability to effectively provide information to internal and external audiences while exhibiting an unwavering commitment to the confidentiality of all matters that are sensitive in nature
Exceptional research and analytical skills
Ability to diagnose problems quickly and have the foresight into potential issues and risk aversion
Requires self-direction and a proven capability to work in a fast-paced environment with a high level of accuracy and attention to detail
Requires expert communication skills, both written and verbal
Ability to multi-task, plan, collaborate, problem-solve and complete work within tight time limitations
Requires superior organizational, time management and prioritization skills
Requires the ability to establish and maintain effective working relationships with all levels of management, employees and clients
Some travel may be require
Bachelor’s degreeor the equivalent combination of education, training or work experience.
Securities Industry Essentials (SIE) Exam, Series 7 and 63 will be required
What we offer you:
At FIS, you can learn, grow and make an impact in your career. Our benefits include:
Flexible and creative work environment
Diverse and collaborative atmosphere
Professional and personal development resources
Opportunities to volunteer and support charities
Competitive salary and benefits
#LI-RS1
FIS is committed to providing its employees with an exciting career opportunity and competitive compensation. The pay range for this full-time position is $57,170.00 - $93,180.00 and reflects the minimum and maximum target for new hire salaries for this position based on the posted role, level, and location. Within the range, actual individual starting pay is determined additional factors, including job-related skills, experience, and relevant education or training. Any changes in work location will also impact actual individual starting pay. Please consult with your recruiter about the specific salary range for your preferred location during the hiring process.Privacy Statement
FIS is committed to protecting the privacy and security of all personal information that we process in order to provide services to our clients. For specific information on how FIS protects personal information online, please see the Online Privacy Notice.
EEOC Statement
FIS is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, marital status, genetic information, national origin, disability, veteran status, and other protected characteristics. The EEO is the Law poster is available here supplement document available here
For positions located in the US, the following conditions apply. If you are made a conditional offer of employment, you will be required to undergo a drug test. ADA Disclaimer: In developing this job description care was taken to include all competencies needed to successfully perform in this position. However, for Americans with Disabilities Act (ADA) purposes, the essential functions of the job may or may not have been described for purposes of ADA reasonable accommodation. All reasonable accommodation requests will be reviewed and evaluated on a case-by-case basis.
Sourcing Model
Recruitment at FIS works primarily on a direct sourcing model; a relatively small portion of our hiring is through recruitment agencies. FIS does not accept resumes from recruitment agencies which are not on the preferred supplier list and is not responsible for any related fees for resumes submitted to job postings, our employees, or any other part of our company.
#pridepass
Other | Full Time
$92k-118k (estimate)
02/17/2024
05/19/2024
afsimage.com
Yukon, OK
50 - 100
The job skills required for Compliance Analyst I include Analysis, Initiative, Financial Services, Compliance Monitoring, Time Management, Analytical Skills, etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Analyst I. 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 I. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Compliance Analyst I positions, which can be used as a reference in future career path planning. As a Compliance Analyst I, it can be promoted into senior positions as a Compliance Manager, Senior that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Analyst I. You can explore the career advancement for a Compliance Analyst I 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.
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Sometimes, the compliance analyst works along with the compliance head and other compliance officers.
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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.