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Sr Compliance Analyst job - Confidential - Windsor, Connecticut

Company Name

Confidential jobs

Job Location

Windsor, Connecticut CT

Job Posted December 24, 2017

Sr Compliance Analyst  

... to check email regularly for information regarding our employment process. Profile Description Provide compliance support to multiple wholesale broker dealers on a broad of matters. Create new processes to reduce risk and improve efficiency. Develop, implement and test the firm's policies and procedures. Responsible for reviewing, monitoring, and maintaining the firm's books and records for due diligence reviews and electronic books and records. Research summarize FINRA and other applicable SRO notices and rule changes and provide recommendations to management as needed. Represent Compliance in the implementation of rule changes. Develop and complete risk assessments and corrective action plans for various compliance and business initiatives. Provide direction and support to supervisors and representatives on compliance policies and procedures Participate in firm's annual 3120 program and in regulatory audits and inquiries. Other projects and / or responsibilities as assigned r Knowledge & Experience Bachelor’s degree and/or relevant business experience and a ...

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