21 Compliance and Operations Analyst Jobs in Baltimore, MD
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Baltimore City, Department of General Services
Baltimore, MD | Full Time
$64k-83k (estimate)
5 Days Ago
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Compliance and Operations Analyst
$66k-85k (estimate)
Full Time | IT Outsourcing & Consulting
5 Days Ago
W3Global Inc is Hiring a Compliance and Operations Analyst Near Baltimore, MD
About The JobPosition Summary:The Compliance & Operations Analyst is primarily responsible for supporting the Chief Compliance Officer ("CCO") with administration of the Firm's compliance programs, including ensuring compliance with state and federal securities regulations, accuracy, and timeliness of filings, as well as for development and testing of new policies and procedures as necessary. In addition, when the business need exists, the Analyst will support the Operations Manager with client service requests and other daily operational activities.
Primary Job ResponsibilitiesCompliance
Primary Job ResponsibilitiesCompliance
- Assisting the CCO with the administration of all aspects of the Firm's compliance program, including management of the compliance calendar and oversight of recordkeeping requirements
- Performing daily email monitoring to identify compliance issues.
- Performing daily, weekly, monthly, quarterly, and annual compliance reviews including trade surveillance process.
- Supporting CCO to meet internal and external reporting requirements.
- Assisting in the day-to-day review of Firm's incoming and outgoing correspondence.
- Assisting in the review of outside business activity, gifts and entertainment, political contribution, outside brokerage account and private securities transaction requests.
- Assisting in gathering information & data in response to regulatory and other internal and external audits, exams, inquiries, or assessments as needed.
- Review client accounts and transactions daily in support of the Firm's AML policies and procedures.
- Completing FinCEN 314(a) reviews.
- Keeping current with federal and state laws and regulations, assisting with updating policies and procedures as requested
- Assisting with oversight, testing & remediation in accordance with FINRA Rule 3120 and SEC Rule 206(4)-7.
- Assisting the CCO with Firm element training and ad hoc employees training regarding changes in securities rules, regulations, and firm policies.
- Conduct office inspections of non-branch office locations.
- Additional duties and assignments as needed by the Firm and regulatory requirements.
- Open new accounts for Registered Representatives ("RRs") and Investment Advisory Representatives ("IARs")
- Complete and send forms to clients for account maintenance and service requests via DocuSign, secure email, or mail/FedEx paper versions (Examples: IRA Distribution forms, ACH forms, IRA Change of Beneficiary forms, Letter of Authorization, Change of Address, etc.)
- Submit service requests on behalf of clients and/or RRs (Examples: ACHs, IRA
- Distributions, Change of Name/Address, Add POA and Associated Person Record, Journals, etc.). Back-up approver for Service Requests. Ensure documentation is on file, complete, and verify client signature.
- Back-up to monitor Action Items as needed for RRs whose assistant is out.
- Additional duties and assignments as needed by the Firm and regulatory requirements.
- BA or BS degree
- 1-3 years of previous investment advisory, securities, financial or regulatory experience.
- Series 7 and 24 required or must obtain within 90 days.
- Series 65 or 66 preferred, but not required.
- General knowledge of USA PATRIOT Act, Bank Secrecy Act,
- Working knowledge of FINRA Gateway and SEC regulatory framework.
- Excellent analytic, presentation, evaluation, and critical thinking skills.
- Proficient with Microsoft Office Suite
- Experience with SmartStation, Envestnet, DocuWare, Box, Quest CE, BSA E Filing system, and NRS Comply all a plus, but not required.
- Capable of working well both independently and as a member of a team
- Strong time management skills
- Strategic-thinker, analytical, problem solver
- Superior organizational skills
- Excellent verbal, written and interpersonal communication skills.
- Meticulous and great attention to detail and accuracy
- Unquestionable integrity and ethical character
Job Summary
JOB TYPE
Full Time
INDUSTRY
IT Outsourcing & Consulting
SALARY
$66k-85k (estimate)
POST DATE
06/22/2024
EXPIRATION DATE
07/20/2024
WEBSITE
w3global.com
HEADQUARTERS
FRISCO, TX
SIZE
100 - 200
FOUNDED
2006
TYPE
Private
CEO
GAYATHRI SRIDHAR
REVENUE
$5M - $10M
INDUSTRY
IT Outsourcing & Consulting
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About W3Global Inc
W3global is a software product development company that offers recruitment and technology solutions for businesses.
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