What are the responsibilities and job description for the Compliance Analyst - San Diego position at Kingswood U.S.?
Job Title: Compliance Analyst
Location: San Diego
Company: Kingswood U.S.
Job Type: Full-time
Department: Compliance
Job Overview:
As a compliance analyst, you will support the compliance team and ensure that the firm adheres to all applicable laws, regulations, and internal policies. This role is ideal for someone eager to start a career in compliance within the financial services industry and looking to develop their skills in a fast-paced, dynamic environment.
Key Responsibilities:
- Assist in monitoring and reviewing trading activity to ensure compliance with regulatory requirements and internal policies.
- Conduct periodic reviews of customer accounts and transactions to identify and report suspicious activities.
- Support the preparation and submission of regulatory filings, including but not limited to FINRA and SEC reports.
- Collaborate with other departments to gather information and ensure compliance with firm-wide policies.
- Maintain and update compliance records, documentation, and databases.
- Assist in the development and implementation of compliance training programs for employees.
- Stay informed about changes in relevant laws and regulations, and assist in updating policies and procedures accordingly.
- Provide support during internal and external audits and regulatory examinations.
- Perform other duties as assigned by the Compliance Manager.
Qualifications:
- Previous compliance experience preferred.
- Strong analytical skills with a keen attention to detail.
- Excellent communication skills, both written and verbal.
- Ability to work independently and as part of a team.
- Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint).
- Basic understanding of the financial services industry and regulatory environment (preferred but not required).
- Required to have Series 7 & 63 or ability to obtain within 6 months.