What are the responsibilities and job description for the Compliance Analyst position at QualStaff Resources?
Compliance Analyst – Financial Services Industry
QUICK FACTS
QUICK FACTS
- Location: La Jolla, CA (Hybrid work schedule)
- Pay range: $37-47/hr (DOE)
- Duration: 6 months with potential to extend
- 5 years of experience in compliance, and internal auditing within the financial services industry
- Bachelor's degree in Finance, Accounting, Business Administration, or related field. Advanced degree or professional certification (e.g., CPA, CIA, CFE) preferred.
- Knowledge of regulatory frameworks, including SEC, FINRA, SOX, GDPR)
- Excellent communication and interpersonal skills, with the ability to effectively communicate findings and recommendations to stakeholders at all levels of the organization.
- Perform internal audits focused on compliance with laws, regulations, and company policies.
- Assess the adequacy and effectiveness of internal controls across business units.
- Identify gaps, risks, and areas of non-compliance, and propose corrective actions.
- Prepare clear, concise audit reports and present findings to management.
- Monitor remediation efforts and verify implementation of corrective measures.
Salary : $37 - $47