Jefferson Wells is looking for an experienced Compliance Analyst for a long term, remote based position at one of our premier Financial Services clients based in the West Region.
This person will assist and report on compliance management. The ideal candidate will be self-motivated and use an analytical skill set to support on-going compliance needs and initiatives within the team. As a Compliance Analyst, you will work closely with regulatory inquiries that may include the SEC, FINRA, CME, CFTC, and self-regulatory organizations.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
- Coordinate and prepare responses to formal investigations and other regulatory inquiries from various exchanges and FINRA
- Manage and coordinate regulatory exams and audits
- Draft and update compliance written supervisory procedures
- Develop, refine and implement internally designed exception reports
- Monitor and assess the firm's trade activity through an internal system whose reports cover areas such as market maker obligations and market manipulation
- Review and clarify proposed industry rules for applicability
- Facilitate rule interpretation, continuing education and best business practices through training and issuance of compliance memos
- Bachelor's degree referred
- At least three (3) years of experience in the areas compliance and financial services.