Broker Dealer Compliance Analyst

FIS Global•Bolingbrook, IL

2d•Onsite

About The Position

As the world works and lives faster, FIS is leading the way. Our fintech solutions touch nearly every market, company and person on the planet. Our teams are inclusive and diverse. Our colleagues work together and celebrate together. If you want to advance the world of fintech, we’d like to ask you: Are you FIS? About the role: The Firm is a registered broker-dealer providing electronic network broker-dealer services to institutional clients. A unique business model that includes technology services in a regulated environment. As a Compliance Analyst I who supports the broker-dealer business, you will be responsible for conducting compliance monitoring, assisting in the preparation of regulatory reports and delivering regular reports on a wide variety of compliance and regulatory matters, and helping develop compliance policies and procedures. About the team: The regulatory compliance team is responsible for managing compliance obligations for a US FINRA member broker-dealer firm and a UK FCA authorized firm. The compliance department works closely with the business to ensure compliant operations and provide guidance as needed to ensure that the firms operate within their regulatory framework. What you will be doing: In this role you will track, review and communicate pending and passed regulations, agency guidelines or directives to impacted lines of business and assist in setting priorities for regulatory issues that must be addressed by the business.

Requirements

2-4 years of financial services compliance experience at a broker-dealer or similar financial institution is required
Knowledge of US regulatory requirements; an understanding of brokerage operations and compliance
Ability to effectively provide information to internal and external audiences while exhibiting an unwavering commitment to the confidentiality of all matters that are sensitive in nature
Exceptional research and analytical skills
Ability to diagnose problems quickly and have the foresight into potential issues and risk aversion
Requires self-direction and a proven capability to work in a fast-paced environment with a high level of accuracy and attention to detail
Requires expert communication skills, both written and verbal
Ability to multi-task, plan, collaborate, problem-solve and complete work within tight time limitations
Requires superior organizational, time management and prioritization skills
Requires the ability to establish and maintain effective working relationships with all levels of management, employees and clients
Some travel may be required
Bachelor’s degree or the equivalent combination of education, training or work experience.
Securities Industry Essentials (SIE) Exam, Series 7 and 63 will be required

Responsibilities

Support and assist in regulatory filing requirements for associated persons including, but not limited to SEC, FINRA and the registration and maintenance of such requirements
Assist with securities registration/licensing and continuing education tracking
Conduct reviews of data for suspicious activity or unusual patterns
Review ongoing activity against the relevant regulations including the Bank Secrecy Act
Conduct reviews of communications and activities of associated persons for compliance with applicable laws and regulations
Contribute to the analysis, identification and evaluation of risks, industry initiatives, industry best practices and surveillance of client activity
Research and liaise with the compliance team regarding the regulatory impact of rule proposals and final rules and regulations
Assist in the administration and implementation of policies and procedures to ensure compliance with all applicable laws and regulations
Assist in internal and external examinations including, but not limited to, FINRA, SEC and on-site internal and external audits