Senior Analyst, Governance, Risk & Controls – Data Reporting & Analytics
IL-70 W Madison St, 9th Fl, United States
USD 75K-90K Senior-level Full Time
Tasks
- Assess regulatory risk
- Assess securities concentration
- Assess trade suitability
- Communicate findings
- Conduct account reviews
- Conduct investigation and corrective actions
- Conduct trade reviews
- Escalate unusual cases
- Flag deceptive trading
- Flag manipulative trading
- Identify conflicts of interest
- Identify excessive trade activity
- Identify restricted account activity
- Monitor UMIR
- Perform monthly statement reviews
- Perform risk analysis
- Provide compliance consulting
- Recommend process enhancements
- Retain review evidence
- Review KYC changes
- Review KYC documentation
- Review PPS new account documentation
- Support regulatory supervision
- Support risk mitigation
- Support risk monitoring
Perks/Benefits
- 401k
- Dental insurance
- Disability insurance
- Health savings account
- Holidays
- Hybrid work arrangement
- Life insurance
- Medical insurance
- Paid time off
- Parental leave
- Sick leave
- Vision insurance
Skills/Tech-stack
AML | Compliance Management | Data Analysis | Excel | KYC | Policy Compliance | Regulatory Compliance | Risk Assessment | Risk Mitigation | Trade monitoring | UMIR
Education
N/A
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