Job Role: Compliance Analyst
PQE: 1-3 years
Responsibilities & QualificationsSpecifically, you will
- You might be required to handle various compliance programs, including third-party due diligence review, Sarbanes Oxley, conflict of interest, name screening, PEP, and PIP check.
- Review documentation for customer accounts evaluates high-risk accounts and analyze customer processes and policies.
- Participate in meetings with the customer from time to time.
- Support periodic and specific reporting requirements
- 1-3 years of experience in KYC, due diligence, surveillance, market abuse, or compliance.
- Experience in supporting various compliance programs, including third-party due diligence review, Sarbanes Oxley, conflict of interest, and gifts & entertainment.
- Experience in managing data and metrics reporting.
- Experience in legal workflow technology tools.
- Compliance process improvement experience.
Skills For Success
- Strong Know Your Customer, third-party due diligence processing knowledge.
- Possesses Excel, Outlook, and Smartsheet knowledge.
- Understanding of Excel pivot tables, VLOOKUP, and conditional formatting.
- Are detail oriented.
- Have strong investigation skills.
- Have a low threshold for risk.
- Not afraid to ask questions and are determined in finding the answers you need.
- Possess strong problem-solving skills. Are comfortable in a fast-paced, rapidly changing work environment.
- Have experience working with Due Diligence programs.
- Experience creating technical compliance workflows and detailed playbooks.
- Can identify and implement cost-saving measures.
- Able to assist in developing and implementing processes to mitigate risks.
- Able to support new compliance technology implementations.
- Knowledge of FCPA, UK Bribery Act, and SEC compliance policies.
- Holds a bachelor’s degree (Law preferable).
- Preferably having knowledge of FCPA, UK Bribery Act, and SEC compliance policies.
- Bachelor’s degree (preferably law).