Compliance Analyst

Our client is a top financial institution with significant North American holdings. They have operations across most major verticals, including institutional & corporate, wealth management, private client, commercial banking, treasury, and retail banking.

Introduction: Robertson is seeking a skilled Compliance Analyst to join our client.

Contract Dates: 6 months

Pay Range: TBD

Business Hours: Monday to Friday

Job Responsibilities

• Initiate and monitor testing related to the equities trading business.
• Monitor controls that cover trade reporting, execution, and electronic communication.
• Assist in policy creation and streamlining of existing procedures.
• Branch inspection reviews covering the various locations the business runs out of.
• Knowledge of U.S. securities rules and regulations; particularly SEC and FINRA.
• Coordinate and perform ongoing risk assessments and compliance reviews to ensure compliance policies and risk controls are operating appropriately.
• Create analyses of risk assessments for LOB business group(s).
• Identify and analyze factors which may affect risk mitigation and compliance with applicable regulatory requirements.
• Elevate high profile or high-risk cases to the Compliance and LOB management to ensure visibility and prompt resolution.
  
  

Experience & Qualification Requirements

• College Degree
• 1-3 years’ experience in Compliance
• Previous compliance experience at a major Financial Institution
• Previous experience with Smarts [surveillance software]
• Knowledge of U.S. securities rules and regulations; particularly SEC and FINRA.SIE EXAM
  
  

Personal Attributes

• Strong attention to detail, communication skills, critical thinking skills, and people/project management skills.
• Willing to take initiative, ask questions, and foster an overall positive team environment
  
  

• ALL CANDIDATES MUST COMPLETE A CRIMINAL AND CREDIT CHECK AS PART OF THE APPLICATION PROCESS****
  
  

How to Apply: If you are a motivated professional looking to contribute to a leading team, please submit your resume outlining your qualifications and experience relevant to this role. Robertson & the clients we represent, value diversity and are committed to creating an inclusive workplace. We invite all qualified individuals to apply.

Robertson & the clients we represent are equal opportunity employers, committed to diversity and inclusion. Robertson is a certified diverse supplier and actively seeks to foster a representative and inclusive workforce. We welcome applications from all qualified individuals, regardless of race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veteran status, Aboriginal status, or any other legally protected factors. We champion building a diverse and inclusive environment.