Cnect

Compliance Analyst – Advisory

Cnect

full-time

Posted on:

Location Type: Hybrid

Location: Dallas • Texas • United States

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Salary

💰 $66,000 - $95,000 per year

Job Level

Junior

About the role

  • Perform surveillance reviews of advisors, transactions, and client accounts to identify exceptions and detect patterns or trends that may be of concern
  • Analyze applicable information and resources to ensure Firm policies and procedures, as well as all applicable laws and regulations, are followed
  • Review applicable laws and regulations for impact on new and existing policies and procedures, and recommend new policies and procedures
  • Communicate policy changes and issues to affected business units, supervisors, and advisors
  • Determine appropriate escalation to supervisory personnel for resolution
  • Compose and issue compliance-related communications
  • Take active part in the review, monitoring, testing and verification of Firm policies and procedures
  • Assist with regulatory requests
  • Collaborate and provide guidance to Designated Supervisors, Advisors, and members of the firm

Requirements

  • 1-3 years of relevant experience in compliance and/or supervision
  • Ability to interpret supervisory procedures and regulatory requirements
  • Analytical skills, ability to research and resolve complex issues
  • Effective written and oral communication skills with all levels within the organization
  • Proficient in Microsoft Excel, Word, and Access
  • Series 7, 24, 63, or 66 required (or ability to obtain within 3 to 6 months upon hire)
  • The ability to work with many diverse assignments with minimal direction and attention to detail
  • Top-notch oral and written communication skills
  • Keen eye for detail
  • Strong analytical and organizational skills
Benefits
  • Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
  • Easy access to mental health benefits to meet our team members and their families where they are.
  • 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
  • 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
  • Paid parental leave to support all team members with birth, adoption, and foster.
  • Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
  • Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
compliancesupervisionanalytical skillsresearchissue resolutionpolicy developmentregulatory analysis
Soft Skills
effective communicationattention to detailorganizational skillscollaborationguidance
Certifications
Series 7Series 24Series 63Series 66