Senior Compliance Analyst

Fisher Investments • Tampa, FL

65d • Onsite

About The Position

The Senior Compliance Analyst works in the office and supports the Compliance Department to ensure compliance with applicable state and federal regulations as well as policies and procedures through advanced knowledge of the regulatory environment or auditing techniques.

Requirements

• Bachelor's degree or equivalent combination of education and experience required
• 4-5 years of financial services regulatory compliance experience preferred
• Highly developed qualitative and/or quantitative skills required
• Ability to analyze various situations and develop creative solutions
• Excellent verbal and written communication skills
• High level of attention to detail
• Ability to adapt to changes in a fast paced, team environment
• Ability to prioritize workload and manage time across various tasks
• Proficient in Microsoft Office software

Responsibilities

• Manages a program to ensure the elements are completely and efficiently meeting the business requirements
• Manages all phases of various projects from envisioning through deployment
• Identifies potential process improvements, recommends solutions, and implements solutions to improve the efficiency of the department
• Coaches, mentors, and motivates team members
• Provides advice and guidance as the primary compliance contact for assigned business units and/or compliance functions
• Completes compliance audits
• Assists in the coordination and enforcement of compliance policies as well as the design and implementation of future compliance processes
• Addresses various compliance issues and determines appropriate resolutions
• Makes decisions regarding the compliance of the firm's marketing material and correspondence
• Reviews and updates written policies relating to firm compliance policies and procedures
• Responds to ad hoc compliance questions from all departments
• Coordinates regulatory examinations as they occur
• Keeps current on, analyzes, and understands regulatory requirements and compliance procedures

Benefits

• 100% paid medical, dental and vision premiums for you and your qualifying dependents
• A 50% 401(k) match, up to the IRS maximum
• 20 days of PTO, plus 10 paid holidays
• Family Support programs including 8 week Paid Primary Caregiver Leave, $10,000 fertility, family forming, and hormonal health assistance, and back-up child, adult, and elder care

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Professional, Scientific, and Technical Services
• Number of Employees: 5,001-10,000 employees