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Compliance Analyst III
Ref No.: 19-11700
Location: Charlotte, North Carolina
Title : Compliance Analyst III
Location : Charlotte NC
Job ID : 19-11700
Contract Type: w2

Job Description:
  • Our financial client Invest Advisor Support Contractor
  • The Invest Advisor Support Contractor will provide compliance services for the our financial client Invest Advisor.
  • The successful candidate will ensure that our financial client achieves optimum compliance with laws, regulations and Company policies while meeting the expectations of regulators and stakeholders.
  • The individual will work closely with the legal department and enterprise functions to manage compliance.
  •  Ensure timely and accurate reporting of compliance issues identified through review, monitoring and testing
  •  Evaluate our financial client Invest Advisor for compliance gaps and improvement opportunities
  •  Remediate issues and implement enhancement opportunities
  •  Determine new methods and develop procedures for achieving compliance with regulatory requirements
  •  Provide routine reporting to Bank, AFI, line of business and other compliance constituencies
  •  Report compliance issues and gaps, as appropriate, to senior management including the CCO, the Compliance Risk Management Committee and other governance forums as appropriate
  •  Prepare presentations and present to senior leadership and regulatory agencies
  •  Facilitate formal responses to examination findings or regulatory inquiries as required
  •  Executing administrative functions related to regulatory forms and filings
  •  Ensure that our financial client's training programs adequately address compliance requirements
  •  Engage with federal and state regulator and internal auditors for examinations, audits, or ad-hoc requests
  •  Bachelors' degree in business or related field
  •  8 + years related Compliance or legal experience, financial services experience
  •  Thorough knowledge of applicable laws and regulations; including the Investment Company Act of 1940 and Investment Advisors Act of 1940
  •  Well-developed analytical and problem-solving skills and experience
  •  Extensive verbal communication skills including proficiency in preparing and delivering engaging presentations to senior and executive management
  •  Previous experience working with regulatory agencies
  •  Experience reviewing, drafting and implementing policies and procedures
  •  Independent decision making and ability to clearly articulate decisions to a broad audience
  •  Strong organizational skills; ability to prioritize and work in a fast-paced environment
  •  Strong management skills and demonstrated ability to develop employees, previous direct management experience preferred
  •  Ability to respond quickly to a changing environment and evolving priorities
  •  Ability to influence others and initiate change
  •  Client series licenses 7, 63, 24 and 65 or 66
Contact :
Ray Santos I I Sunrise Systems Inc I 105 Fieldcrest Drive Suite 504 Edison, NJ 08837 I (732) 395-4426 I

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