Top 49 Compliance Financial Analyst Jobs

Finance - Global Markets – Client Implementation – Analyst
Northpointe Staffing —Salt Lake City, UT
- From $22 an hour
- Temporary
- Spanish
- Microsoft Outlook
- English
Quick Apply
5d
Compliance Risk Analyst
GTT, LLC —Marlborough, MA
- $34 - $44 an hour
- Contract
- Hybrid work
- Computer science
- Computer Science
- Mid-level
- 401(k)
- Vision insurance
Quick Apply
Compliance - Market Surveillance Analyst
Crypto.com —Remote
- $90,000 - $110,000 a year
- Weekends as needed
- Remote
- Mid-level
- Finance
- Bachelor's degree
- Disability insurance
- Dental insurance
Quick Apply
12d
Risk and Compliance Sr Analyst
Texas Capital Bank —Richardson, TX
- Full-time
- 7 years
- Computer Science
- Writing skills
- Wellness program
- Paid holidays
11d
Sr Financial Analyst - Legal Compliance
NextEra Energy, Inc. —Juno Beach, FL
- Full-time
- Mid-level
- Office
- High school diploma or GED
2d
Analyst, Portfolio Compliance
DOUBLELINE GROUP LP —Los Angeles, CA
- $100,000 - $115,000 a year
- Full-time
- Research
- Mid-level
- 3 years
Quick Apply
Compliance and Risk Analyst
Integral —Tysons Corner, VA
- Full-time
- Mid-level
- Finance
- Analysis skills
- Paid parental leave
- Paid holidays
Procurement Analyst (Compliance & Risk Management)
US Executive Director, Office of Acquisition, Logistics and Construction —Denver, CO
- $125,776 - $163,514 a year
- Online Application
- Hybrid work
- Background check
- Psychiatry
- Writing skills
- Opportunities for advancement
7d
Governance, Risk, and Compliance Analyst
You.com —San Francisco, CA
- $150,000 - $180,000 a year
- Full-time
- Hybrid work
- HIPAA
- Mid-level
- 3 years
- Paid parental leave
- Health insurance
Compliance-Salt Lake City-Analyst- Markets Surveillance
Goldman Sachs —Salt Lake City, UT
- Mid-level
- Office
- Analysis skills
- Disability insurance
- Health insurance
Senior Finance & Compliance Analyst
HDR —Omaha, NE
- Full-time
- Oracle
- CPA
- 5 years
Portfolio Compliance Analyst
Franklin Templeton Investments —Fort Lauderdale, FL
- $71,400 - $84,000 a year
- Full-time
- Hybrid work
- Mid-level
- Office
- Finance
- Paid holidays
- Health insurance
IT Risk & Compliance Analyst
Watts Regulator Company —Andover, MA
- $84,000 - $94,000 a year
- Full-time
- Mid-level
- Residential
- 3 years
- Paid parental leave
- Paid holidays
Quick Apply
13d
Capital Markets Compliance Analyst- Muncipal Securities
Regions —Atlanta, GA
- $95,013.77 - $121,936.50 a year
- Full-time
- Microsoft Excel
- 5 years
- Office
- Health savings account
- Health insurance
10d
Compliance Risk Analyst
Rhode Island Housing —Providence, RI
- $63,489 - $85,710 a year
- Full-time
- Hybrid work
- Research
- Mid-level
- Office
- Health insurance
- Dental insurance
Quick Apply
Financial Analyst - Expense and Compliance
Ice Miller LLP —Chicago, IL
- $65,000 - $90,000 a year
- Full-time
- Writing skills
- Mid-level
- 3 years
- Health insurance
- Dental insurance
Quick Apply
10d
Capabilities & Insights Analyst - Private Equity
McKinsey & Company —Boston, MA
- Microsoft Excel
- Mid-level
- Office
14d
Financial Crimes Risk Signal Analyst
STRIDE BANK NA —Salt Lake City, UT
- Full-time
- Mid-level
- 3 years
- Finance
Finance Analyst - Acquisitions
Mission Pet Health —Birmingham, AL
- Full-time
- Mid-level
- Office
- Finance
- Paid holidays
- Disability insurance
Quick Apply
Principal Risk & Compliance Quantitative and Modeling Analyst - Location Flexible
PG&E Corporation —Oakland, CA
- $133,000 - $238,000 a year
- Full-time
- System design
- Office
- Master's degree

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Finance - Global Markets – Client Implementation – Analyst

Northpointe Staffing -
Salt Lake City, UT

Quick Apply

Job Details

Temporary
From $22 an hour
5 days ago

Qualifications

Spanish
Customer communication
Teamwork
Microsoft Outlook
Bachelor's degree
Attention to detail
Organizational skills
Account management experience
Technical Proficiency

Full Job Description

Client Implementation team is seeking an energetic and detail-oriented professional to help facilitate the client onboarding process to ensure due diligence is performed in compliance with trading regulations and new account opening requirements. In this role, the individual will manage key client relationships within the Global Markets Division and interact with Sales, Compliance, Credit, Risk, Legal and Operations stakeholders to ensure the effective onboarding of clients to the firm.

As a member of the Client Onboarding organization, this individual will review client documentation and approve new accounts across all products and business lines. Individual within this role will need to be a quick learner and understand the regulatory environment to ensure that the risks are managed to protect the firm and clients. It is critical that this person has the organizational skills needed to effectively prioritize requests, meet deadlines and communicate to all levels of the organization to facilitate an excellent client onboarding experience.

The Client Implementation team approves all new client trading accounts and coordinates additional trading features/account types for existing clients including client maintenance and data quality management. Having a working knowledge of the operational flow of a wide variety of products is an asset. The team also works closely with Technology to design new system enhancements to improve efficiencies, and with Compliance to define and implement firm policies and controls.

In this role, you will be expected to engage with clients and interact with the Business, Compliance, Credit, Legal and Operations stakeholders to ensure effective onboarding of clients. You will need to be a quick learner and understand the regulatory environment, including multiple new regulations, to identify risk and escalate concerns while ensuring to protect the firm and clients. Individual will be required to have the ability to prioritize, meet deadlines and communicate to all levels of the organization. Key responsibilities being:

Ensure due diligence is performed to comply with “Know Your Customer” regulations
Develop expertise in the Firm’s Anti Money Laundering/Customer Identification due diligence policies
Approve the opening of new accounts
Design procedures to reflect changing regulatory requirements
Devise and implement process improvement efficiencies
Coordinate with internal and external clients to obtain relevant onboarding requirements
Reaching out to obtain AML information and documentation from the client/business
Answering queries about client accounts/relationships
Project management ranging from small enhancements to large-scale, global initiatives
Ensure all communication is of the highest professional standard to maintain client service excellence
Timely and effective escalation of potential relationship issues and devising possible resolutions
Taking responsibility for delivering against commitments
Participate in regular meetings to maintain clarity and consistency surrounding workflow
Develop required reporting and identify and implement efficiencies

SKILLS AND EXPERIENCE

Qualifications: Bachelor’s degree required
Client Service: Proven ability to build global relationships and communicate complex issues to a wide array of clients with differing levels of product experience.
Communication: Strong communication, organizational, and interpersonal skills with the confidence to engage professionally and persuasively with clients and senior figures within the firm.
Leadership Capabilities: Ability to think critically and apply thought leadership
Accountability: Self-motivated and proactive team player who takes ownership of projects with the aptitude to manage clients’ expectations and follow-through with professionalism
Team Player: Thrives in a teamwork oriented environment and works well under pressure
Operational Experience: Onboarding, operational and/or reconciliation experience is a plus
Analytical Skills: Proven analytical skills, problem solving ability, and a control mentality paired with meticulous attention to detail.
Business Intelligence: Ability to analyze data and configure operational metrics through self-service tooling. Experience with Alteryx, Tableau, SQL, Data Warehousing, Defensive Design Methods and RPA robotics is also a plus.
Technical Skills: Expertise in Microsoft Office (Outlook, Word, Excel, and PowerPoint) required and the ability to work with web-based applications
Process Improvements: Driving Regulatory Implementation, Orchestration and Workflow Uplifts
Results-Oriented: Ability to handle time-sensitive projects while focusing on the quality of work delivered, and helping lead projects to a successful conclusion
Professional Maturity: Ability to manage confidential information with excellent judgment
Prioritization: Deadline driven with the ability to multi-task and work in a fast-paced environment
Languages: Spanish/Portuguese preferred

Pay: From $22.00 per hour

Application Question(s):

Do you have prior experience within the financial industry?

Do you have bilingual skills? English and Spanish or English and Portuguese?

Education:

Bachelor's (Required)

Work Location: In person

Quick Apply

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Compliance Financial Analyst jobs

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