Compliance Analyst I

Company Description

Job Description

Position Type :

Type Of Hire :

Education Desired :

Travel Percentage :

Job Description

As the world works and lives faster, FIS is leading the way.  Our fintech solutions touch nearly every market, company and person on the planet. Our teams are inclusive and diverse. Our colleagues work together and celebrate together. If you want to advance the world of fintech, we’d like to ask you: Are you FIS?

About the role:

The Firm is a registered broker-dealer providing electronic network broker-dealer services to institutional clients. A unique business model that includes technology services in a regulated environment. As a Compliance Analyst I supporting the broker-dealer business, you will be responsible for conducting compliance monitoring, assisting in the preparation of regulatory reports and delivering regular reports on a wide variety of compliance and regulatory matters, and helping develop compliance policies and procedures.

About the team:

The regulatory compliance team is responsible for managing compliance obligations for a US FINRA member broker-dealer firm and a UK FCA authorized firm. The compliance department works closely with the business to ensure compliant operations and provide guidance as needed to ensure that the firms operate within their regulatory framework.  

What you will be doing:

In this role you will track, review and communicate pending and passed regulations, agency guidelines or directives to impacted lines of business and assist in setting priorities for regulatory issues that must be addressed by the business.

• Support and assist in regulatory filing requirements for associated persons including, but not limited to SEC, FINRA and the registration and maintenance of such requirements
• Assist with securities registration/licensing and continuing education tracking
• Conduct reviews of data for suspicious activity or unusual patterns
• Review ongoing activity against the relevant regulations including the Bank Secrecy Act
• Conduct reviews of communications and activities of associated persons for compliance with applicable laws and regulations
• Contribute to the analysis, identification and evaluation of risks, industry initiatives, industry best practices and surveillance of client activity
• Research and liaise with the compliance team regarding the regulatory impact of rule proposals and final rules and regulations
• Assist in the administration and implementation of policies and procedures to ensure compliance with all applicable laws and regulations
• Assist in internal and external examinations including, but not limited to, FINRA, SEC and on-site internal and external audits

What you will need:

• 2-4 years of financial services compliance experience at a broker-dealer or similar financial institution is required
• Knowledge of US regulatory requirements; an understanding of brokerage operations and compliance
• Ability to effectively provide information to internal and external audiences while exhibiting an unwavering commitment to the confidentiality of all matters that are sensitive in nature
• Exceptional research and analytical skills
• Ability to diagnose problems quickly and have the foresight into potential issues and risk aversion
• Requires self-direction and a proven capability to work in a fast-paced environment with a high level of accuracy and attention to detail
• Requires expert communication skills, both written and verbal
• Ability to multi-task, plan, collaborate, problem-solve and complete work within tight time limitations
• Requires superior organizational, time management and prioritization skills
• Requires the ability to establish and maintain effective working relationships with all levels of management, employees and clients
• Some travel may be require
• Bachelor’s degreeor the equivalent combination of education, training or work experience.
• Securities Industry Essentials (SIE) Exam, Series 7 and 63 will be required
• This is for our Bolingbrook/Chicago, IL office

What we offer you:
At FIS, you can learn, grow and make an impact in your career. Our benefits include:  

• Flexible and creative work environment 
• Diverse and collaborative atmosphere  
• Professional and personal development resources 
• Opportunities to volunteer and support charities 
• Competitive salary and benefits  

Privacy Statement

FIS is committed to protecting the privacy and security of all personal information that we process in order to provide services to our clients. For specific information on how FIS protects personal information online, please see the Online Privacy Notice.

EEOC Statement

FIS is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, marital status, genetic information, national origin, disability, veteran status, and other protected characteristics. The EEO is the Law poster is available here supplement document available here

For positions located in the US, the following conditions apply. If you are made a conditional offer of employment, you will be required to undergo a drug test. ADA Disclaimer: In developing this job description care was taken to include all competencies needed to successfully perform in this position. However, for Americans with Disabilities Act (ADA) purposes, the essential functions of the job may or may not have been described for purposes of ADA reasonable accommodation. All reasonable accommodation requests will be reviewed and evaluated on a case-by-case basis.

Sourcing Model

Recruitment at FIS works primarily on a direct sourcing model; a relatively small portion of our hiring is through recruitment agencies. FIS does not accept resumes from recruitment agencies which are not on the preferred supplier list and is not responsible for any related fees for resumes submitted to job postings, our employees, or any other part of our company.

#pridepass