Compliance AnalystMinneapolis, MN, United StatesCompliance AnalystContract-to-hire roleHybrid onsite/MinneapolisW2/USC onlyCompliance AnalystLicenses SIE, Series 7TO, Series 63, Series 24 (Series 16, 86/87, 57 also a plus but not required)Experience minimum of 3 years Compliance/Supervisory experience.Someone with applicable experience in other parts of the business Equity Sales and Trading, Institutional Brokerage, Equity Research, Investment Banking (some but not all are necessary would need to be able to get up to speed fairly quickly on unfamiliar territory).Job DutiesAssist CCO with review and implementation of regulatory initiatives, review and interpret rules and guidance, documentation of policies and proceduresAssist with daily, weekly, monthly, annual and ongoing reviews and surveillance functionsPerform email/ecomm reviewsTrading surveillance, CAT/CAIS reviews/reconciliation, Best Ex reviewsAssist with administration of Continuing Education, develop training content/administer trainingPerform Branch Office auditsWork with FinTech vendors for onboarding and maintenance of surveillance/data assurance programsResponsible for AML/CIP/KYC Programs ideally would like to hand over the AML CCO title to someone elseAttend conferences and industry meetingsAssist with Research oversight as needed work with Research Technology vendor on Compliance programsAssist with response to regulatory inquiries and regulatory audits/exams become proficient on regulatory/legal affairsAssist with internal audits, 3120 testing
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