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Kingswood U.S. · 3 weeks ago

Compliance Analyst - San Diego

San Diego, CA

Full-time

Onsite

New Grad, Entry Level

Kingswood U.S. is a company in the financial services industry, seeking a Compliance Analyst to support their compliance team. The role involves ensuring adherence to laws, regulations, and internal policies, while developing skills in a dynamic environment.

AdviceFinanceFinancial ServicesWealth Management

Responsibilities

Assist in monitoring and reviewing trading activity to ensure compliance with regulatory requirements and internal policies

Conduct periodic reviews of customer accounts and transactions to identify and report suspicious activities

Support the preparation and submission of regulatory filings, including but not limited to FINRA and SEC reports

Collaborate with other departments to gather information and ensure compliance with firm-wide policies

Maintain and update compliance records, documentation, and databases

Assist in the development and implementation of compliance training programs for employees

Stay informed about changes in relevant laws and regulations, and assist in updating policies and procedures accordingly

Provide support during internal and external audits and regulatory examinations

Perform other duties as assigned by the Compliance Manager

Qualification

Compliance experienceAnalytical skillsSeries 7 & 63 certificationCommunication skillsMicrosoft Office SuiteFinancial services knowledgeTeamworkAttention to detailIndependent work