Compliance Analyst IV W2 ONLY 7249725
San Ramon, CA
W2 ONLY 6 Month Contract
Our client is seeking a Compliance Analyst to plan, direct, and coordinate operations of to ensure compliance with ethical or regulatory standards in Banking.
- Communicate regulatory information to multiple departments and ensure that information is interpreted correctly.
- Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
- File appropriate compliance reports with regulatory agencies.
- Conduct or direct the internal investigation of compliance issues.
- Identify compliance issues that require follow-up or investigation.
- Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
- Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
- Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
- Discuss emerging compliance issues with management or employees.
- Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
- Advise internal management or business partners on the implementation or operation of compliance programs.
- Consult with corporate attorneys as necessary to address difficult legal compliance issues.
- Direct the development or implementation of compliance-related policies and procedures throughout an organization.
- Monitor compliance systems to ensure their effectiveness.
- Prepare management reports regarding compliance operations and progress.
- Provide assistance to internal or external auditors in compliance reviews.
- Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
- Assess product, compliance, or operational risks and develop risk management strategies.
- Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
- Oversee internal reporting systems such as corporate compliance hotlines and inform employees about these systems.
- Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
- Verbal and written communication skills, attention to detail and interpersonal skills.
- Ability to work independently and manage one' s time.
- Strong knowledge of financial regulation.
- Ability to apply accounting and mathematical principles to work as needed.
- Previous experience with computer applications, such as Microsoft Word and Excel.
- Bachelor' s degree in business management, economics, finance, accounting or relevant field required.
- 8-10 years experience required