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FIS · 1 day ago

Broker Dealer Compliance Analyst

Bolingbrook, IL

Full-time

Onsite

Entry, Mid Level

$59K/yr - $97K/yr

2+ years exp

FIS is a leading fintech company providing electronic network broker-dealer services to institutional clients. The Compliance Analyst will conduct compliance monitoring, assist in regulatory reports, and develop compliance policies and procedures within a regulated environment.

BankingFinancial ServicesFinTechPayments

Responsibilities

Support and assist in regulatory filing requirements for associated persons including, but not limited to SEC, FINRA and the registration and maintenance of such requirements

Assist with securities registration/licensing and continuing education tracking

Conduct reviews of data for suspicious activity or unusual patterns

Review ongoing activity against the relevant regulations including the Bank Secrecy Act

Conduct reviews of communications and activities of associated persons for compliance with applicable laws and regulations

Contribute to the analysis, identification and evaluation of risks, industry initiatives, industry best practices and surveillance of client activity

Research and liaise with the compliance team regarding the regulatory impact of rule proposals and final rules and regulations

Assist in the administration and implementation of policies and procedures to ensure compliance with all applicable laws and regulations

Assist in internal and external examinations including, but not limited to, FINRA, SEC and on-site internal and external audits

Qualification

Financial services complianceUS regulatory requirementsSecurities Industry EssentialsAnalytical skillsCommunication skillsProblem-solvingOrganizational skillsTime managementCollaboration

Required

2-4 years of financial services compliance experience at a broker-dealer or similar financial institution is required

Knowledge of US regulatory requirements; an understanding of brokerage operations and compliance

Ability to effectively provide information to internal and external audiences while exhibiting an unwavering commitment to the confidentiality of all matters that are sensitive in nature

Exceptional research and analytical skills

Ability to diagnose problems quickly and have the foresight into potential issues and risk aversion

Requires self-direction and a proven capability to work in a fast-paced environment with a high level of accuracy and attention to detail

Requires expert communication skills, both written and verbal

Ability to multi-task, plan, collaborate, problem-solve and complete work within tight time limitations

Requires superior organizational, time management and prioritization skills

Requires the ability to establish and maintain effective working relationships with all levels of management, employees and clients

Some travel may be required

Bachelor's degree or the equivalent combination of education, training or work experience

Securities Industry Essentials (SIE) Exam, Series 7 and 63 will be required