What are the responsibilities and job description for the Entry Level Compliance Analyst position at Lensa?
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Description
Duties & Responsibilities What will the employee do in this role? - Tracking Compliance projects, develop and maintain a regulatory Compliance Calendar, and assisting the department in prioritizing and handling such projects. - Assisting the department with responding to regulatory inquiries by gathering information, materials, documents, and reports throughout the company. - Address emails and phone calls coming into the Compliance and Legal Inbox and Compliance phone rotation line. - Maintaining corporate files of FINRA, SEC, and state regulatory examinations, handling regulatory correspondence, and researching securities laws and regulations. - Generate reports and prepare departmental monthly metrics reporting. - Gather and input relevant metrics data into Excel spreadsheets and publish and distribute key reports to management and compliance team members. - Cross-train in all compliance support functions and perform special assignments as requested by management. - Assist the AML team to resolve low risk Protegent alerts - Responsible for gathering all necessary documentation and reports for targeted inspections and Compliance investigations - Onboarding of new employees to include equipment and systems access requests. - Responsible for updating the compliance OneNet page and First Reference compliance section. - Problem-solve, research, analyze and respond to routine compliance-related requests and inquiries from advisors, support staff and internal business units. - Prepare and publish various monthly, quarterly, and annual compliance reports for review by senior management. - Generate and pull pre-inspection reports to be used by the Compliance Examiners to analyze and prepare for branch exams. - Input cases and documentation int respective firm approved compliance tools such as My Compliance Office, and Audit Trax. - Act as the front line of communication to the field and business partners by monitoring and responding, within 24 hours, requests submitted to the Legal and Compliance Inbox. - Serve as backup compliance personnel in the creation of the financial advisor ADV2B brochure. Administrative Responsibility - Distribute daily mail and arrange for FedEx Mail-outs and place departmental supply orders. - Make travel arrangements, complete registration for conferences and prepare expense reports for leaders in the Legal and Compliance department as needed. - Coordinate Compliance team outings, lunches, and birthday card distribution
Skills
Compliance, FINRA, FINRA Series, compliance monitoring, compliance documentation
Top Skills Details
Compliance,FINRA
Additional Skills & Qualifications
Administrative skills Data entry
Experience Level
Intermediate Level
Job Type & Location
This is a Contract position based out of Fort Worth, TX.
Pay and Benefits
The pay range for this position is $18.00 - $20.00/hr.
Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following: - Medical, dental & vision - Critical Illness, Accident, and Hospital - 401(k) Retirement Plan - Pre-tax and Roth post-tax contributions available - Life Insurance (Voluntary Life & AD&D for the employee and dependents) - Short and long-term disability - Health Spending Account (HSA) - Transportation benefits - Employee Assistance Program - Time Off/Leave (PTO, Vacation or Sick Leave)
Workplace Type
This is a fully onsite position in Fort Worth,TX.
Application Deadline
This position is anticipated to close on Feb 28, 2026.
h4>About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
About TEKsystems And TEKsystems Global Services
We're a leading provider of business and technology services. We accelerate business transformation for our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions. We're a team of 80,000 strong, working with over 6,000 customers, including 80% of the Fortune 500 across North America, Europe and Asia, who partner with us for our scale, full-stack capabilities and speed. We're strategic thinkers, hands-on collaborators, helping customers capitalize on change and master the momentum of technology. We're building tomorrow by delivering business outcomes and making positive impacts in our global communities. TEKsystems and TEKsystems Global Services are Allegis Group companies. Learn more at TEKsystems.com.
The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
If you have questions about this posting, please contact support@lensa.com
Description
Duties & Responsibilities What will the employee do in this role? - Tracking Compliance projects, develop and maintain a regulatory Compliance Calendar, and assisting the department in prioritizing and handling such projects. - Assisting the department with responding to regulatory inquiries by gathering information, materials, documents, and reports throughout the company. - Address emails and phone calls coming into the Compliance and Legal Inbox and Compliance phone rotation line. - Maintaining corporate files of FINRA, SEC, and state regulatory examinations, handling regulatory correspondence, and researching securities laws and regulations. - Generate reports and prepare departmental monthly metrics reporting. - Gather and input relevant metrics data into Excel spreadsheets and publish and distribute key reports to management and compliance team members. - Cross-train in all compliance support functions and perform special assignments as requested by management. - Assist the AML team to resolve low risk Protegent alerts - Responsible for gathering all necessary documentation and reports for targeted inspections and Compliance investigations - Onboarding of new employees to include equipment and systems access requests. - Responsible for updating the compliance OneNet page and First Reference compliance section. - Problem-solve, research, analyze and respond to routine compliance-related requests and inquiries from advisors, support staff and internal business units. - Prepare and publish various monthly, quarterly, and annual compliance reports for review by senior management. - Generate and pull pre-inspection reports to be used by the Compliance Examiners to analyze and prepare for branch exams. - Input cases and documentation int respective firm approved compliance tools such as My Compliance Office, and Audit Trax. - Act as the front line of communication to the field and business partners by monitoring and responding, within 24 hours, requests submitted to the Legal and Compliance Inbox. - Serve as backup compliance personnel in the creation of the financial advisor ADV2B brochure. Administrative Responsibility - Distribute daily mail and arrange for FedEx Mail-outs and place departmental supply orders. - Make travel arrangements, complete registration for conferences and prepare expense reports for leaders in the Legal and Compliance department as needed. - Coordinate Compliance team outings, lunches, and birthday card distribution
Skills
Compliance, FINRA, FINRA Series, compliance monitoring, compliance documentation
Top Skills Details
Compliance,FINRA
Additional Skills & Qualifications
Administrative skills Data entry
Experience Level
Intermediate Level
Job Type & Location
This is a Contract position based out of Fort Worth, TX.
Pay and Benefits
The pay range for this position is $18.00 - $20.00/hr.
Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following: - Medical, dental & vision - Critical Illness, Accident, and Hospital - 401(k) Retirement Plan - Pre-tax and Roth post-tax contributions available - Life Insurance (Voluntary Life & AD&D for the employee and dependents) - Short and long-term disability - Health Spending Account (HSA) - Transportation benefits - Employee Assistance Program - Time Off/Leave (PTO, Vacation or Sick Leave)
Workplace Type
This is a fully onsite position in Fort Worth,TX.
Application Deadline
This position is anticipated to close on Feb 28, 2026.
h4>About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
About TEKsystems And TEKsystems Global Services
We're a leading provider of business and technology services. We accelerate business transformation for our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions. We're a team of 80,000 strong, working with over 6,000 customers, including 80% of the Fortune 500 across North America, Europe and Asia, who partner with us for our scale, full-stack capabilities and speed. We're strategic thinkers, hands-on collaborators, helping customers capitalize on change and master the momentum of technology. We're building tomorrow by delivering business outcomes and making positive impacts in our global communities. TEKsystems and TEKsystems Global Services are Allegis Group companies. Learn more at TEKsystems.com.
The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
If you have questions about this posting, please contact support@lensa.com
Salary : $18 - $20