Our client, a Leading Brokerage Firm, is looking for a Data Analyst to join their growing Financial Compliance team.
26th July, 2022
Position Purpose: Supports the compliance department technology needs and initiatives to deliver an efficient and effective compliance program. Extracts data from various Order Management Systems, and internal databases to create compliance reporting, analytics, and validation programs. Liaises with internal technology support areas to deliver third-party technology/vendors and enhance current internal systems. Work with senior compliance management to assess technical resources ensuring a smooth flow of information in development of business requirements.
Provides technical support to develop compliance reporting and analytics to support compliance surveillance and data validation programs.
Creates SQL queries to extract needed data from order management systems, and other internal systems.
Coordinates and manages compliance department technology projects and collaborates with internal business partners.
Manages third party vendor implementation projects, including identifying solutions and vetting appropriate vendors. Works with vendors on data integration. Collaborates with vendor management in conducting vendor due diligence.
Helps compliance with FINRA/SEC regulatory data pulls from various databases and internal systems, formats and presents data in accordance with regulatory requests.
Coordinates annual system(s) testing to ensure compliance with regulatory requirements.
This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.
Bachelor’s degree in Business, Computer Science or similar preferred
0-2 years of related experience in a financial services organization
Proficient in SQL and XML languages
Microsoft office Suite with emphasis on Excel for longer term analytical solutions. Familiar with Azure Cloud and Azure Blob solutions.
Candidate must have excellent communication and interpersonal skills to be able to gather business requirements and understand underlying processes.
Ability to manage multiple assignments in a fast-paced work environment with an action and results orientated approach.
Deliver quality work consistently with minor supervision.
Candidate must have good time management skills and be highly organized.
Be self-sufficient and have creative approaches to problems by being resourceful.
Must be authorized to work in the US for any employer