at Fidelity Information Services in Bolingbrook, Illinois, United States
Job Description
Position Type : Full time
Type Of Hire : Experienced (relevant combo of work and education)
Education Desired : Bachelor of Business Administration
Travel Percentage : 5 - 10%
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.
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
Other duties as assigned
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
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... For full info follow application link.
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: http://www1.eeoc.gov/employers/upload/eeoc_self_print_poster.pdf
For positions located in the US, the conditions below apply.
If you are made a conditional offer of employment, you will be required to undergo a drug test and background check (including criminal record check)
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.
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Job Posting:
11679110
Posted On:
Feb 15, 2024
Updated On:
Mar 09, 2024
