Sr. Compliance Analyst Job Description Template
Our company is looking for a Sr. Compliance Analyst to join our team.
Responsibilities:
- Acts a team lead on compliance-related projects;
- Act as a FINRA-regulated supervisor of registered representatives in the various sales channels of CIM Group;
- Reporting: Provide reporting as it relates to the control assessment to the control owners, risk management teams, and business unit owners;
- Internal Control Updates: Update the internal control inventory based on various events such as regulatory changes;
- Risk Assessment: Work with the risk team to integrate the control catalog activities with the risk assessment processes.
Requirements:
- Minimum 5 years’ experience in supervising broker/dealer activities;
- Series 7 and 24 required;
- Proficiency in Microsoft Office including Word, Excel and Outlook;
- Bachelor’s degree.