What are the responsibilities and job description for the Technology Compliance - Senior Analyst position at Solomon Page?
Our client is looking to fill the role of Technology Compliance - Senior Analyst.
Responsibilities:
- Support compliance coverage of the firm’s technology and data enterprise, and coverage for broker-dealer clients
- Design periodic and adhoc supervisory reports and complete associated reviews
- Engage with stakeholders across technology and operations teams and support them in an advisory capacity
- Implement internal control enhancements and appropriately solution potential compliance matters
- Assist draft business specifications to create and improve surveillance and compliance tools
- Assist coordinate responses to regulatory inquiries from foreign and US regulators
- Draft and implement firm policies, controls and written supervisory procedures
Qualifications
- 5 years’ experience with a broker-dealer, investment manager or regulator
- Solid academic background with a Bachelors or Masters in Finance, Computer Science, Data Sciences or Information Systems preferred
- Working knowledge of SEC, FINRA, CFTC, CME, NFA, US and foreign regulations relevant to the areas of coverage
- Strong working knowledge of industry standards from NIST, ISO, COBIT, ISACA, EDM, etc.
- High degree of comfort and fluency with computers and technology, and an understanding of how technology is applied to business and regulatory problems.
- Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
- Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision
- Knowledge of information systems, software development, UNIX, SQL, Perl and databases is a plus
If you meet the required qualifications and are interested in this role, please apply today.
The Solomon Page Distinction
Our teams, comprised of subject matter experts, develop an interest in your preferences and goals and we act as an advisor for your career advancement. Solomon Page has an extensive network of established clients which allows us to present opportunities that are well-suited to your respective goals and needs – this specialized approach sets us apart in the industries we serve.
About Solomon Page
Founded in 1990, Solomon Page is a specialty niche provider of staffing and executive search solutions across a wide array of functions and industries. The success of Solomon Page reflects an organic growth strategy supported by a highly entrepreneurial culture. Acting as a strategic partner to our clients and candidates, we focus on providing customized solutions and building long-term relationships based on trust, respect, and the consistent delivery of excellent results. For more information and additional opportunities, visit: solomonpage.com and connect with us on Facebook, and LinkedIn.
Opportunity Awaits.
Salary : $85,000 - $120,000
