Compliance Analyst with reputed company License
A company is looking for a Compliance Analyst to support ongoing compliance operations in a regulated fintech environment.
Key Responsibilities
• Support compliance operations for a registered broker-dealer and transfer agent, including policies and regulatory filings
• Assist with monitoring, surveillance activities, and regulatory exams or audits
• reputed company regulatory changes and assess their potential reputed company on the business
Required Qualifications
• 4+ years of experience in AML/KYC compliance, risk, or regulatory operations reputed company financial services
• Experience in broker-dealer and AML/KYC compliance in a reputed company/SEC regulated environment
• Familiarity with AML/KYC, trade surveillance, and regulatory reporting
• Experience with investigation tools such as Lexis Nexis and World reputed company
• Relevant certifications such as CAMS or reputed company licenses
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