Compliance Analyst

Compliance Analyst 

Downtown Charlotte

In Office 

Company:  Financial Services

Role Description

We are currently looking for a Compliance Analyst to join our Charlotte, NC team to help  Compliance continue building out a best-in-class Personal Trading program.

Essential Functions

• Work with  Compliance and employees to obtain current personal account information. • Perform data analysis and processes requests to ensure accurate records maintained within vendor application(s). • Support  Compliance in audits and regulatory examinations, as needed. • Assist in updating Pre-Clearance procedures, job aids and other related materials. Education and Qualifications • Bachelor’s Degree (preferred) • Personal Trading Compliance (preferred)

Experience, Skills and Competencies Required

• Positive and professional attitude with the ability to self-motivate. • High level of attention to detail and accuracy • Strong written and verbal communication skills

• Handle confidential information with diplomacy and discretion.

• Displays advanced understanding of enterprise applications and collaboration tools (e.g., Outlook, Excel, Word, PowerPoint, Teams, Zoom, SharePoint) • Bring recommendations based on prior experience with other financial institutions.

• Applies strong interpersonal and communication skills with the ability to relate and clearly communicate (written and oral) with ES Compliance.

• Ability to successfully organize workload, applying time management skills to multitask and meet deadlines.

• A self-starter with a high degree of energy and careful attention to detail • Strong sense of initiative and a process-improvement mindset