Futurex
financial services
ComplianceAnalyst
Neural analysis suggests this role is
optimal for Mid candidates.
“Compliance Analyst at Futurex. Skills: responding to customer queries regarding vendor compliance, conducting basic customer compliance reviews, assisting in internal audits, supporting external audits/assessments. responding to customer queries regarding vendor compliance. conducting basic customer compliance reviews to ensure all customer interactions and services meet applicable regulatory/compliance/industry requirements”
Industry & Context.
Excellent analytical and problem-solving skills.
Occasional travel may be required., Involves handling sensitive and confidential information.
What They're Looking For.
Must Have
Bachelor's degree in Law, Business Administration, Finance, Information Technology or a related field., 4+ years of experience in compliance, risk management, or a similar role, preferably within the financial services industry., knowledge of regulatory requirements and compliance standards., Excellent analytical and problem-solving skills., Effective communication and interpersonal skills., Attention to detail and ability to handle confidential information.
Nice to Have
Certification in compliance (e. g. , Certified Compliance & Ethics Professional (CCEP), Certified Regulatory Compliance Manager (CRCM), Certified Information Systems Auditor (CISA) or any other relevant industry certification) is a plus.
What You'll Do.
responding to customer queries regarding vendor compliance
conducting basic customer compliance reviews to ensure all customer interactions and services meet applicable regulatory/compliance/industry requirements
assisting in internal audits for the organization
support external audits/assessments being performed by organization’s external auditors
Answer queries from customers regarding organization’s compliance
Act as a liaison between the organization and the customer to resolve specific compliance related questions/issues
Respond to customer vendor risk/security assessment questionnaires
Request compliance documentation and evidence from vendors
Review and evaluate the provided documentation/evidence to obtain assurance that vendor is meeting its compliance obligations
Assist in performance of internal audit activities for the organization
Ensure that all time-based activities to support organization’s compliance are being conducted
Collect regular evidence to support organization’s compliance
Assist with audits/assessments being performed by external auditors and ensure that the organization is ready for these assessments
Evaluate the requests received from the external auditors and act as a liaison between external auditors and internal subject matter experts
Provide responses to external auditors
Stay updated with changes in regulatory environment and to industry standards
Ensure the organization’s compliance practices align with current laws
and industry standards
Maintain detailed and accurate records of all compliance activities and findings
Prepare compliance reports for senior management and regulatory bodies
Document and report any compliance violations or issues
How You'll Work.
Team & Collaboration
Act as a liaison between the organization and the customer; act as a liaison between external auditors and internal subject matter experts
Communication Scope
Effective communication and interpersonal skills.
Full Job Description
The Compliance Analyst is a critical position for ensuring that the organization adheres to all relevant regulatory requirements and industry standards. Compliance Analyst is responsible for responding to customer queries regarding vendor compliance and conducting basic customer compliance reviews to ensure all customer interactions and services meet applicable regulatory/compliance/industry requirements. Compliance Analyst will also assist in internal audits for the organization and support external audits/assessments being performed by organization’s external auditors. **Key Responsibilities:** **Customer Interaction** · Answer queries from customers regarding organization’s compliance · Act as a liaison between the organization and the customer to resolve specific compliance related questions/issues · Respond to customer vendor risk/security assessment questionnaires **Vendor Verification and Review** · Request compliance documentation and evidence from vendors · Review and evaluate the provided documentation/evidence to obtain assurance that vendor is meeting its compliance obligations **Internal Audits** · Assist in performance of internal audit activities for the organization · Ensure that all time-based activities to support organization’s compliance are being conducted · Collect regular evidence to support organization’s compliance **External Audits/Assessments** · Assist with audits/assessments being performed by external auditors and ensure that the organization is ready for these assessments · Evaluate the requests received from the external auditors and act as a liaison between external auditors and internal subject matter experts · Provide responses to external auditors **Regulatory/Compliance Frameworks** · Stay updated with changes in regulatory environment and to industry standards · Ensure the organization’s compliance practices align with current laws, regulations, and industry standards **Reporting and Documentation** · Maintain detailed and accur
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