Oracle Cloud ERP · 1 month ago
Compliance Analyst - Risk & Controls
Saint Cloud, MN, United States
Full-time
Hybrid
Entry Level
$59K/yr - $103K/yr
1+ years expOracle Cloud ERP is seeking a Compliance Analyst to join their Risk Controls team. The primary responsibility of this role is to ensure compliance with the firm's policies and procedures while guiding internal partners on regulatory requirements. The analyst will also handle inquiries related to Outside Business Activities and collaborate with compliance teams to establish necessary controls.
Information Technology & Services
Responsibilities
Review and acknowledge Outside Business Activities (OBAs) submitted by registered field and home office personnel
Partner with the broker-dealer Compliance teams, as needed, to establish controls and/or conditions of an OBA
Respond to and address inquiries from field and home office personnel to assist and educate regarding firm policies and procedures as it relates to OBAs
Track submissions and documentation into respective firm approved tools
Submit and update OBA information for registered persons
Primary contacts / internal partners for this position are: Broker-Dealer Compliance and Supervision Teams
Qualification
Required
HS Degree at minimum
1-3 years of BD Compliance experience
Series 7 and 24 required
Review and analyze OBAs from a practical, policy and regulatory framework
Provide accurate and thorough written documentation
Manage several tasks proactively
Work well independently as well as on a team
Manage workloads and help team as needed
Regulations and interpretive guidance
Industry Best Practices
Problem resolution
Thorough analysis
Excellent written and verbal communication
MS office including Excel, Word, and Outlook
Interpersonal relations
Preferred
Bachelor's degree preferable
Benefits
Competitive performance-based bonus
Company
Oracle Cloud ERP
Oracle Cloud ERP is a software as a service, SaaS, solution for businesses to control and manage multiple facets of their business.
10001+ employees
Funding
Current Stage
Late StageCompany data provided by crunchbase