Compliance Officer 1

  • Location
    Morrisville, North Carolina
  • Job type
  • Category
    Accounting & Finance - Financial Analyst

So, you’re looking for a great finance & banking position in Morrisville. Good news! We’re now hiring for a contract role as a Compliance Officer 1.
The Compliance Officer will focus on tracking and requesting management of Electronic Blue Sheets. You’ll be vital to the success of the team. This position is the perfect way to gain valuable experience.

Duration: 6-Month Contract

Here are some of the responsibilities you’ll have:

• Respond to and track regulatory electronic Blue Sheet requests from the SEC, FINRA and other SROs and handle issues that arise regarding blue sheets requests
• Assist with tracking, recording regulatory requests
• Maintain tracker of both US exams and non-exam related regulatory requests
• Assist with SEC/FINRA Continuous Monitoring program requests as needed
• Assist with routine and ad hoc regulatory requests, including examinations
• Assist with special projects as necessary
• Additional administrative duties, as needed

These are the qualities we’re looking for in a Compliance Officer 1:

• 3-5 years of relevant Compliance/Regulatory or SEC/FINRA Regulatory Reporting experience, or equivalent
• Bachelor’s Degree required
• Proficiency with MS Office, particularly Excel and familiarity with SharePoint
• Comfort with use of various data and information tracking systems
• Ability to work independently and interact with all levels of management in a professional manner
• Extremely detail-oriented with excellent organizational and interpersonal skills
• Excellent written and oral communication skills

Does this all sound good to you? If you ask us, we’d make a great team.
Click on APPLY NOW to get yourself started.

Equal Opportunity Employer Minorities / Women / Veterans / Disabled

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Reference number US_EN_1_028069_11781619