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QualStaff Resources · 4 hours ago

Financial Compliance Analyst

La Jolla Shores, CA

Contract

Hybrid

Senior Level

$37/hr - $47/hr

5+ years exp

QualStaff Resources is a company focused on the financial services industry, and they are seeking a Financial Compliance Analyst. The role involves performing internal audits, assessing internal controls, identifying compliance gaps, and preparing audit reports for management.

DeliveryHuman ResourcesInformation TechnologyStaffing Agency

Responsibilities

Perform internal audits focused on compliance with laws, regulations, and company policies

Assess the adequacy and effectiveness of internal controls across business units

Identify gaps, risks, and areas of non-compliance, and propose corrective actions

Prepare clear, concise audit reports and present findings to management

Monitor remediation efforts and verify implementation of corrective measures

Qualification

Compliance experienceInternal auditingRegulatory frameworks knowledgeBachelor's degreeProfessional certificationCommunicationInterpersonal skills

Required

5+ years of experience in compliance, and internal auditing within the financial services industry

Bachelor's degree in Finance, Accounting, Business Administration, or related field

Knowledge of regulatory frameworks, including SEC, FINRA, SOX, GDPR

Excellent communication and interpersonal skills, with the ability to effectively communicate findings and recommendations to stakeholders at all levels of the organization