Compliance Analyst I
11605 N. Community House Road charlotte, NC 28277
If you have a passion for finance and want to work with one of the top 25 financial holding companies in the United States, then there could be an exciting opportunity for you!
ektello is hiring a Compliance Analyst for our client in Charlotte, NC. Our client has been around since 1919, but redesigned in 2009 with a distinctive brand, innovative approach and relentless focus on its customers. They offer financial products for consumers, businesses, automotive dealers and corporate clients. Our client has an award-winning online bank (member FDIC), one of the largest full-service auto finance operations in the country, and a trusted corporate finance business offering capital for equity sponsors and middle-market companies.
Our client is seeking an individual to support the Compliance department in employee management including onboarding / offboarding, systems provisioning, regulatory filings, and documentation. The role primarily involves processing and maintenance through data entry, records retention, and review of items produced to ensure conformance to enterprise methodology and regulatory requirements. Communication skills are vital as the role will require internal and external written correspondence, emails, and phone interactions.
- Knowledge of the rules and requirements applicable to FINRA, SEC, CFTC, etc.
- Process internal requests for systems access approval and provisioning.
- Assist in maintenance of employee records and supervisory structure.
- Ensure adherence to documentation and retention processes and requirements.
- Review onboarding documentation for completion and identify matters which require additional review.
- Perform compliance tasks pertaining to documentation, reporting, etc. May assist in monitoring regulatory issues. Follows established guidelines and procedures
- Stay apprised of regulatory matters and developments through regular review of appropriate compliance publications, websites, and by participating in relevant training events
- Applies knowledge of company policies and standard practices to resolve problems
- Analyzes issues and uses judgment to make decisions and escalate non-standard problems or issues
- Conduct ad hoc research as required
- Miscellaneous duties as assigned
- Education level: Bachelor' s Degree or higher
- Total years and type of prior related experience: 2+ years of experience in compliance (related to onboarding/offboarding, systems provisioning, regulatory filings, and documentation)
- FINRA Series 7 license preferred
- Effective oral and written communication skills
- Ability to handle multiple assignments and adjust to frequently changing priorities, while completing tasks and projects under tight deadlines
- Proactive mindset in problem-solving
**Fingerprints and credit check would be a part of the hiring process.**
With my experience sourcing for talent, I know how to find the perfect fit for our clients! With that said, let me use that knowledge to make sure you’re that “perfect fit.” I treat all of my Talent like I’m helping a friend, and will stop at nothing until I can place them in their dream role.