Soho Square Solutions · 1 day ago
Compliance Support / Compliance Analyst
White Plains, NY
Contract
Hybrid
New Grad, Entry Level
$25/hr - $32/hrSoho Square Solutions is seeking a Compliance Support / Compliance Analyst to assist in monitoring agent communications, particularly focusing on electronic communications and social media. This role is crucial for applying risk-based criteria to social media content and supporting various supervisory functions within the team.
Big DataBlockchainFinancial ServicesProject Management
Hiring Manager
Satheesh Kumar
Responsibilities
Assist with supervisory responsibilities related to electronic communications review, with a primary focus on social media supervision
Utilize multiple internal systems, third-party vendor platforms, and ChatGPT to support communications surveillance activities
Run and analyze electronic communications reports, including leveraging GPT tools to assist with data review and categorization
Assess communications to distinguish business vs. non-business content and route business-related communications for Registered Principal review
Support additional supervisory and compliance functions as assigned, requiring rapid learning of internal policies and industry regulations (insurance and FINRA)
Navigate multiple systems simultaneously while managing competing priorities and deadlines
Collaborate closely with Compliance, Supervision, and other internal stakeholders on an ongoing basis
Qualification
Required
Comfort navigating new systems
Interpersonal skills — working with multiple people on the team, speaking up in meetings
Insurance/Securities industry experience
Technically savvy / familiarity with content creation (Instagram)
Comfortable 'living and working in the grey' with strategic regulatory goals in mind
Strong analytical skills with the ability to review, interpret, and assess electronic communications
Excellent verbal and written communication skills
Strong organizational skills and ability to manage concurrent work items
Ability to work independently and collaboratively
Demonstrated strong work ethic and high attention to detail
Proficiency with Microsoft Word and Excel
Comfort using ChatGPT or similar AI tools
Preferred
Prior insurance and/or securities industry experience (compliance, supervision, operations)
FINRA Series 6 or 7, or insurance-related designation
Knowledge of Life Insurance, Fixed & Variable Annuities, Mutual Funds
Company
Soho Square Solutions
Soho Square Solutions expertise in financial services, enterprise risk, information security, project management, big data and blockchain.
Founded in 2008
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
Vijay Veerachandran
CEO, Founder and Managing Partner
Recent News
Company data provided by crunchbase