The Compliance Analyst is vital in enhancing the organization's compliance framework, instilling the company's values, and ensuring adherence to industry compliance standards. This role encompasses a broad range of compliance responsibilities, including support and oversight for compliance activities related to our broker-dealer and registered investment advisor operations.
Responsibilities:
Compliance Tasks:
Manage the compliance email inbox, responding to inquiries and requests in a timely manner.
Conduct semi-annual reviews of mutual fund share classifications.
Assist in the evaluation of compliance submissions through our compliance monitoring system.
Evaluate technology vendor proposals for compliance with due diligence requirements.
Conduct personal holdings reviews for compliance with organizational policies.
Collect and prepare regulatory filings, including but not limited to forms 13F and 13H, liaising with custodians as necessary.
Secure and review custodial reports from external custodians.
Contribute to the creation and upkeep of standard operating procedures for the compliance department.
Undertake various tasks and participate in special projects as needed.
Audits:
Support the audit process for advisory accounts.
Assist advisors in preparing for regulatory examinations.
Participate in internal programs aimed at promoting compliance awareness.
Support the management and oversight of electronic document signatures, retirement plan compliance, advisory fee reviews, and annual compliance reviews as required by regulations.
Working hours: 9:00 AM - 5:00 PM
Skills:
Visionary thinking with a focus on the big picture.
Effective multitasking and problem-solving skills.
Keen attention to detail.
Strong communication skills, both verbal and written.
Excellent interpersonal abilities.
Proficient in time and project management.
Strong organizational skills.
Competent in using Microsoft Office Suite, especially Excel and Word.
Education:
Bachelors
Experience:
1-4 years
Qualifications:
Bachelor?s degree preferred.
Financial industry certifications such as Series 7 and 66 preferred.
3-5 years of experience in compliance or supervisory roles within the financial services industry.
Ability to process and analyze complex information.
Apply today
Spherion has helped thousands of people just like you find work happiness! Our experienced staff will listen carefully to your employment needs and then work diligently to match your skills and qualifications to the right job and company. Whether you're looking for temporary, temp-to-perm or direct hire opportunities, no one works harder for you than Spherion.

Equal Opportunity Employer: Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.

At Spherion, we welcome people of all abilities and want to ensure that our hiring and interview process meets the needs of all applicants. If you require a reasonable accommodation to make your application or interview experience a great one, please contact Callcenter@spherion.com.

Pay offered to a successful candidate will be based on several factors including the candidate's education, work experience, work location, specific job duties, certifications, etc.In addition, Spherion offers a comprehensive benefits package, including health, and an incentive and recognition program (all benefits are based on eligibility).
key responsibilities
Compliance Tasks:Manage the compliance email inbox, responding to inquiries and requests in a timely manner.Conduct semi-annual reviews of mutual fund share classifications.Assist in the evaluation of compliance submissions through our compliance monitoring system.Evaluate technology vendor proposals for compliance with due diligence requirements.Conduct personal holdings reviews for compliance with organizational policies.Collect and prepare regulatory filings, including but not limited to forms 13F and 13H, liaising with custodians as necessary.Secure and review custodial reports from external custodians.Contribute to the creation and upkeep of standard operating procedures for the compliance department.Undertake various tasks and participate in special projects as needed.Audits:Support the audit process for advisory accounts.Assist advisors in preparing for regulatory examinations.Participate in internal programs aimed at promoting compliance awareness.Support the management and oversight of electronic document signatures, retirement plan compliance, advisory fee reviews, and annual compliance reviews as required by regulations.
experience
1-4 years
skills
Visionary thinking with a focus on the big picture.Effective multitasking and problem-solving skills.Keen attention to detail.Strong communication skills, both verbal and written.Excellent interpersonal abilities.Proficient in time and project management.Strong organizational skills.Competent in using Microsoft Office Suite, especially Excel and Word.
qualifications
Bachelor?s degree preferred.Financial industry certifications such as Series 7 and 66 preferred.3-5 years of experience in compliance or supervisory roles within the financial services industry.Ability to process and analyze complex information.
education
Bachelors