Job Overview:
We are seeking a meticulous and experienced Compliance Analyst to join our team. The Compliance Analyst will be responsible for ensuring that our company adheres to legal standards and in-house policies. The ideal candidate will have a strong understanding of FINRA and SEC financial regulations and possess excellent analytical skills.
Duties:
- Develop and implement compliance policies and procedures
- Some travel for Branch Office Examinations
- Conduct internal and external audits to ensure adherence to regulatory requirements
- Monitor changes in laws and regulations that impact the organization's operations
- Collaborate with departments to address compliance issues
- Prepare reports for senior management on compliance status
- Respond to regulatory inquiries and investigations
Experience:
- Prior experience in a compliance role, preferably in the financial sector
- Knowledge of regulatory requirements such as FINRA and SEC
- Familiarity with financial software and systems for regulatory reporting
- Strong financial acumen and attention to detail
-Series 7 required Series 24 within 90 days. Will sponsor an ideal candidate.
This position offers competitive compensation and benefits. If you meet the qualifications and are passionate about ensuring organizational compliance, we encourage you to apply.
Job Type: Full-time
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Health insurance
- Paid time off
- Retirement plan
- Vision insurance
Experience:
- Compliance: 2 years (Preferred)
License/Certification:
- Series 7 and/or 24 (Preferred)
Ability to Commute:
- Greensburg, PA 15601 (Required)
Ability to Relocate:
- Greensburg, PA 15601: Relocate before starting work (Preferred)
Work Location: In person
