Description

We are offering a contract employment opportunity for a Sr. Compliance Analyst in New York, New York.

Does this sound like you?

• Provide advisory services and support to the U.S. Compliance Department

• Develop strategies for FINRA 3110 compliance, using best practices and approaches from peer banks

• Conduct testing, reporting, and analysis to meet compliance requirements

• Assess current approach and framework for compliance, recommending changes based on industry best practices and other banks’ compliance strategies

• Prepare and amend all U4 (Uniform Application for Securities Industry Registration or Transfer) Forms using FINRA Gateway

• Prepare for and file all BR (Branch Office Registration) Forms using FINRA Gateway

• Support the development of record-keeping metrics and quarterly filings for RSLs

• Execute monitoring activities to support the maintenance of permissive registrations and timely filing of Form U4 amendments

• Provide ad-hoc support to execute US Employee Compliance activities and procedures

Requirements

• Provide advisory services and support to the U.S. Compliance Department

• Develop strategies for FINRA 3110 compliance, using best practices and approaches from peer banks

• Conduct testing, reporting, and analysis to meet compliance requirements

• Assess current approach and framework for compliance, recommending changes based on industry best practices and other banks’ compliance strategies

• Prepare and amend all U4 (Uniform Application for Securities Industry Registration or Transfer) Forms using FINRA Gateway

• Prepare for and file all BR (Branch Office Registration) Forms using FINRA Gateway

• Support the development of record-keeping metrics and quarterly filings for RSLs

• Execute monitoring activities to support the maintenance of permissive registrations and timely filing of Form U4 amendments

• Provide ad-hoc support to execute US Employee Compliance activities and procedures

Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more.

All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.

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