Associate - Compliance Analyst

Capco • Orlando, FL

21d

About The Position

The Associate – Compliance Analyst will participate in compliance and operations monitoring, governance, oversight, and regulatory reporting activities in coordination with compliance and internal control teams. The role of the Compliance Analyst is to ensure that the firm and its employees conduct business in accordance with federal and state laws and rules and regulations, including the rules and regulations of the Securities and Exchange Commission, The Federal Reserve Bank, the Commodity Futures Trading Commission, Financial Industry Regulatory Authority (FINRA), and other governmental agencies, self-regulatory organizations and internal policies and industry best practices.

Requirements

• 1+ year relevant experience
• Associates or Bachelor’s Degree required
• Excellent written, communication, and presentation skills
• Ability to interact and work closely with business stakeholders at all levels of seniority
• Possess strong analytical thinking and critical reasoning skills
• Ability to work effectively in a team environment
• Ability to effectively handle a fast-paced environment and successfully meet established deadline requirements

Nice To Haves

• ACAMS and/or SIE certification a plus

Responsibilities

• Manage: policy updates/edits/releases, posting and archiving, managing the policy database, managing disclosure requests, and posting compliance memos
• Evaluate and monitor transactional activity to assess potential suspicious activity (e.g., money laundering)
• Perform transaction monitoring alert reviews and sanctions hit reviews to be able to identify when activity requires further investigation
• Interpret and implement client operating policies regarding financial data
• Identify data anomalies and red flags for money laundering, terrorist financing, fraud, and sanctions violations, and escalate for second level review
• Research, draft, and file Suspicious Activity Report (SAR) to enforcement networks, and document decisions not to file a SAR – exercising independent judgment and discretion while handling sensitive cases
• Execute account maintenance updates and process client lifecycle related reports
• Ensure client vetting data and document processing comply with regulations, guidelines, standards, and policies for all new accounts

Benefits

• We offer highly competitive benefits, including medical, dental and vision insurance, a 401(k) plan, tuition reimbursement, and a work culture focused on innovation and creation of lasting value for our clients and employees.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: Associate degree
• Number of Employees: 1,001-5,000 employees