20 Compliance Analyst Jobs in Denver, CO
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Janus Henderson is Hiring a Remote Compliance Analyst
- Support the U.S. Distribution Compliance team as a Compliance Analyst
- Review advertising and marketing materials pursuant to FINRA and SEC Regulations, GIPS standards, internal policies and procedures, and all other applicable guidelines
- With mentorship and collaboration from the Advertising Review team, provide timely, creative, clear, and thoughtful guidance to business partners and team members on advertising compliance matters
- Collaborate with internal partners and be exceptional at developing and nurturing professional relationships
- Stay abreast of changing regulations that impact our business
- Show growth in your understanding of applicable rules and willingness to expand that understanding as needed for the role
- Carry out other duties as assigned
- Hybrid working and reasonable accommodations
- Generous Holiday policies
- Paid volunteer time to step away from your desk and into the community
- Support to grow through professional development courses, tuition/qualification reimbursement and more
- All-inclusive approach to Diversity, Equity and Inclusion
- Maternal/paternal leave benefits and family services
- Complimentary subscription to Headspace – the mindfulness app
- Discounted membership to ClassPass and other health and well-being benefits
- Unique employee events and programs including a 14er challenge
- Complimentary beverages, snacks and all employee Happy Hours
- FINRA SIE, Series 6 or 7 registrations required
- FINRA Series 24 or 26 Within 60 days of hire
- 1-3 years of experience in the financial services industry experience preferred
- Outstanding time management, organizational and follow-up skills to effectively plan and take tasks to completion within specified time frames
- Ability to manage multiple tasks simultaneously, maintain focus and develop prioritization system to provide exceptional service levels in a dynamic environment
- Intermediate to advanced computer skills, including social media software, electronic workflow systems, Microsoft Word and Excel
- Investment product knowledge: separately managed institutional accounts; asset allocation and alternative products, equity and fixed income mutual funds and ETFs
- Excellent interpersonal, written and verbal communication skills
- Basic knowledge and understanding of SEC and FINRA regulations for mutual funds and advisors; familiarity with GIPS and CFTC a plus
- Be skillful at identifying and proactively resolving issues, including offering solutions and alternatives within regulatory frameworks
- Strong attention to detail and accuracy
- Ability to master technology-driven Ad Review system, manage automated workflows, and produce reports
- Mentoring
- Leadership development programs
- Regular training
- Career development services
- Continuing education courses
Job Summary
Full Time
$74k-93k (estimate)
04/14/2023
03/31/2024
The job skills required for Compliance Analyst include Risk Management, Regulatory Compliance, Attention to Detail, Futures, Verbal Communication, Time 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.
03/13/2022: Hopkinsville, KY
They can audit members of professional organizations to determine whether they meet the standards set by the organization.
03/11/2022: Fresno, CA
Most of them contribute to security designs through acquisitions and/or system developments to deliver and maintain a compliant system.
02/10/2022: Clearwater, FL
Help companies remain compliant with regulations, thus preparing them for audits.
03/13/2022: Columbus, OH
The compliance analyst has a duty to maintain legal and regulatory compliance by researching, analyzing, and communicating regulatory requirements and obtaining the appropriate approvals.
02/27/2022: Casper, WY
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.
12/30/2021: Billings, MT
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.
03/08/2022: Fayetteville, AR
Get Certifications and Continue Learning.
12/24/2021: Saginaw, MI
Step 3: View the best colleges and universities for Compliance Analyst.
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