Intermediate Compliance Analyst - Conflicts Review - Hybrid

Compliance Specialist

Helps to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements. Possesses and applies broad knowledge of concepts and principles; works with some instruction or guidance with applicable latitude for un-reviewed action or decisions; performs more complex assignments with direction and guidance from management.

Applicants must possess legal authorization to work for our company in the U.S. without the need for immigration sponsorship or otherwise serving as an employer of record for immigration employment purposes. At this time, this role is not eligible for immigration-related employment authorization sponsorship.

Responsibilities:

• Perform updates to employee conflicts reporting system to ensure access.
• Perform regular monitoring tasks to ensuring data accuracy and timely task completion in the conflicts reporting system.
• Approve ethics and conflict of interest disclosures with some assistance from more senior team members.
• Identify process improvement opportunities and recommend updates
• Work collaboratively with business partners to help resolve straightforward compliance cases as assigned.
• Stay informed about regulatory updates and assist with updating procedures as directed.
• Participate in the gathering of data and preparation of responses to information requests from management, auditors and regulators.
• Protect the confidentiality and integrity of sensitive information in all compliance activities.

Qualifications:

• Bachelor's degree in business, marketing, pre-law or other field, or equivalent education and experience.
• Two years of regulatory, securities, or ethics-related experience.
• Series 7 & 24 licenses or the ability to obtain both within 9 months
• Written and verbal communication skills.
• Analytical and research skills.
• Proficiency using MS Office tools.

Preferred Qualifications:

• Experience with data analytics software such as Power BI preferred

Working Conditions:

• Hybrid office environment: 3 days in office (Cedar Rapids, Philadelphia, Denver)

Compensation:

• The Salary for this position generally ranges between $60,000 - $75,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
• Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company's discretion.