Compliance Analyst – Branch Exams

Job not on LinkedIn

🕒 May 13

🤠 Texas – Remote

🤠 Texas – Remote

💵 $64k - $94k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

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Cnect

WebsiteLinkedInAll Job Openings

51 - 200 employees

👥 HR Tech

🎯 Recruiter

☁️ SaaS

HR Tech • Recruitment • SaaS

Cnect is a company that provides an innovative platform for connecting candidates with employers to streamline the hiring process. It offers features such as enhanced profile visibility, real-time notifications, direct messaging, and AI integration to improve job search efficiency for candidates and simplify the hiring process for employers. Cnect includes tools for transforming resumes into digital profiles and enables employers to cultivate candidate relationships through personalized communication and real-time messaging. With Cnect, businesses in various industries can find and onboard the best candidates more efficiently. The platform is available as a mobile app, enabling users to engage with the hiring process from anywhere.

📋 Description

• Conduct exams of securities brokerage and advisory branch offices (up to 50% domestic travel) • Investigate potential audit exceptions • Conduct opening and closing interviews/meetings with branch personnel • Prepare reports • Collaborate with the team members and Audit Managers to streamline processes and create efficiencies for the department

🎯 Requirements

• Series 7, 24, and 66 (or 63 and 65) exams/licenses • Minimum of 5 years of related experience in auditing/examining, broker-dealer operations and/or securities/advisory compliance • Ability to work in a self-directed environment working remotely from your primary residence • Strong written and verbal communication skills • PC skills must include familiarity with MS Office, including proficiency in MS Word, Excel, Teams and Outlook.

🏖️ Benefits

• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. • Easy access to mental health benefits to meet our team members and their families where they are. • 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. • 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. • Paid parental leave to support all team members with birth, adoption, and foster. • Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. • Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.