Compliance Analyst (Compliance Operations)

Where

Newark, DE

What you'll be doing

The Compliance Analyst will report to the compliance manager responsible for project delivery and dealing with compliance operations department. Candidate will assist in all departmental activities including, but not limited to, employee certifications of outside accounts, linking of accounts to appropriate broker transmissions and resolving issues related to non-designated broker accounts. A successful applicant has to assist with ad-hoc projects as required. Assist in the ongoing efforts to increase transparency and efficiency within the PAD group and the wider Compliance Operations department.

What your background should be

1 to 3 years experience in financial services industry a plus but not a requirement. Compliance, risk management, or regulatory affairs in financial services industry is a plus. Strong written and verbal communication skills. Strong Microsoft Office skills, particularly Excel and PowerPoint. Ability to work in fast paced environment and manage multiple, changing priorities. Ability to both produce quality work with minimal supervision and function well in a collaborative environment.

Required Schooling / Training

Bachelors Degree, preferably in business, finance or economics. MBA is a plus.

Who is the client company

The Company is leading global financial services. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity.

If you are interested in this position, send your resume to apply@kochdavis.com