What are the responsibilities and job description for the Compliance Analyst position at Novon Consulting?
About the job Compliance Analyst
Contract-to-hire role
Hybrid onsite / Minneapolis
W2 / USC only
Compliance Analyst
Licenses SIE, Series 7TO, Series 63, Series 24 (Series 16, 86 / 87, 57 also a plus but not required)
Experience minimum of 3 years Compliance / Supervisory experience.
Someone with applicable experience in other parts of the business Equity Sales and Trading, Institutional Brokerage, Equity Research, Investment Banking (some but not all are necessary would need to be able to get up to speed fairly quickly on unfamiliar territory).
Job Duties
Assist CCO with review and implementation of regulatory initiatives, review and interpret rules and guidance, documentation of policies and procedures
Assist with daily, weekly, monthly, annual and ongoing reviews and surveillance functions
Perform email / ecomm reviews
Trading surveillance, CAT / CAIS reviews / reconciliation, Best Ex reviews
Assist with administration of Continuing Education, develop training content / administer training
Perform Branch Office audits
Work with FinTech vendors for onboarding and maintenance of surveillance / data assurance programs
Responsible for AML / CIP / KYC Programs ideally would like to hand over the AML CCO title to someone else
Attend conferences and industry meetings
Assist with Research oversight as needed work with Research Technology vendor on Compliance programs
Assist with response to regulatory inquiries and regulatory audits / exams become proficient on regulatory / legal affairs
Keep a pulse on the job market with advanced job matching technology.
If your compensation planning software is too rigid to deploy winning incentive strategies, it’s time to find an adaptable solution.
Compensation Planning
Enhance your organization's compensation strategy with salary data sets that HR and team managers can use to pay your staff right.
Surveys & Data Sets
What is the career path for a Compliance Analyst?
Sign up to receive alerts about other jobs on the Compliance Analyst career path by checking the boxes next to the positions that interest you.
