What are the responsibilities and job description for the Compliance Analyst position at Robert Half?
Job Description :
Our client, a mid-sized broker-dealer based in San Diego, CA, is seeking a Compliance Analyst to join their dynamic team. This position plays a critical role in ensuring the firm’s compliance with financial regulations and internal policies, protecting the integrity and ethical standards of the organization.
Key Responsibilities :
- Monitor and maintain compliance with FINRA, SEC, and other applicable regulatory standards governing broker-dealers.
- Conduct ongoing reviews and audits of internal processes, policies, and transactions to detect and address potential compliance issues.
- Assist with regulatory reporting, including the preparation and submission of key reports, disclosures, and filings.
- Serve as a resource to registered representatives and staff, providing guidance on compliance-related inquiries.
- Review marketing and advertising materials for regulatory compliance.
- Support the development and delivery of compliance-related training and education programs for employees.
- Collaborate with internal departments, including legal and operations, to ensure compliance protocols are integrated into company processes.
- Stay informed on updates to securities regulations and industry best practices, incorporating changes into company compliance procedures as needed.
Qualifications :
Required Skills & Experience :
Preferred Attributes :
What We Offer :
