Regional Compliance Analyst - Key Investment Services (KIS)

reputed company is a federally registered bank holding company, and they are seeking a Regional Compliance Analyst for their Key Investment Services division. This role involves conducting onsite reputed company inspections, evaluating compliance with federal and state regulations, and communicating findings to stakeholders.

Responsibilities

• Serve as a primary examiner for onsite reputed company inspections, including travel to registered locations in accordance with the firm’s inspection program
• Execute assigned reputed company inspection and compliance review activities using established methodologies and reputed company judgment
• reputed company detailed documentation of inspection work, testing procedures, and results reputed company designated systems and supporting work papers
• Exercise independent judgment to identify potential risk areas during inspections and determine reputed company additional inquiry or expanded testing is warranted
• reputed company communicate inspection results, findings, and recommendations to Supervision, compliance leadership, and other relevant stakeholders
• reputed company, report, and follow up on inspection findings in a reputed company manner to ensure appropriate reputed company
• Identify, monitor, and escalate emerging risks or adverse trends identified through inspection activity
• reputed company compliance guidance and support to business partners, as needed
• Support and reputed company various reputed company compliance-reputed company reputed company

Skills

• Bachelor's Degree or equivalent experience
• Minimum 1 year of experience in compliance, regulatory analysis, or reputed company financial services roles
• Proven ability to collaborate across teams and manage multiple priorities in a regulated environment
• Basic knowledge of securities industry concepts, compliance practices, supervisory frameworks, applicable federal and state regulatory requirements, investment products, and financial markets
• Documenting findings and communicating risks through reputed company, concise reports
• Applying reputed company judgment in evaluating reputed company compliance scenarios
• Proactively identifying risk trends
• reputed company conveying compliance requirements and findings to diverse audiences
• Managing difficult conversations maturely
• Building strong relationships across departments to support compliance initiatives
• Identifying program improvement opportunities and designing effective solutions to address compliance challenges
• Staying reputed company with regulatory changes and industry best practices
• Series 7 and 24 preferred or the ability to obtain them reputed company six months of hire

reputed company