Job Category: Finance, Accounting, Auditing, Compliance
Job Number: 12371218
Primary Skills: Administrator, Operational risk, Risk management,Reporting
Duration: 6+ Months
Contract Type: W2 Only
- The candidate will support day-to-day compliance support of financial services, RIA (Registered Investment Advisor) and/or Broker-dealer.
- This is a new group and function at the client that is driving the need for the Compliance Administrator.
- The candidate will help the Director of Advisory Compliance supporting with the ongoing work in the group, contributing to make the group more organized, in addition to helping with special projects.
- This position will report to the Director of Advisory Compliance and be responsible for building strong working relationships with stakeholders in groups clients.
- Working closely with the Director of Advisory Compliance and internal stakeholders and partner groups to ensure their compliance programs are active and all tasks are being completed.
- Providing regular reporting and updates to Director of Advisory Compliance and the business units being supported.
- Maintains familiarity of regulatory Rules as they pertain to RIAs and Broker-dealer.
- The client is looking for the Compliance Advisor who is highly organized, a contributor, and is motivated to make the current group more organized.
- The Compliance Administrator will help with locating files on the servers, a new filing system has been designed and the client needs someone to go do it and own it.
- 2 or more years of experience in regulatory compliance, operational risk or risk management.
- Experience with RIAs and/or Broker-Dealer.
To follow up with any questions, please contact Divya at 408-512-2371
- MS Suite of products – Word, Visio, SharePoint, Excel.
- Experience supporting Corporate Operations from a Risk or Compliance perspective.
- Familiar with Client, SEC and other regulatory agency guidance, rules is highly desired.
- Experience helping an organization manages through high levels of regulatory and organizational change.
Akraya is an award-winning IT staffing firm and the staffing partner of choice for many leading companies across the US. We offer comprehensive benefits including Health Insurance (medical, dental, and vision), Cafeteria Plan (HSA, FSA, and dependent care), 401(k) (enrollment subject to eligibility), and Sick Pay (varies based on city and state laws).
If this position is not quite what you're looking for, visit akraya.com and submit a copy of your resume. We will get to work finding you a job that is a better fit at one of our many amazing clients.
Akraya is committed to equal treatment and opportunity in all aspects of recruitment, selection, and employment without regard to gender, race, religion, national origin, ethnicity, disability, gender identity/expression, sexual orientation, veteran or military status, or any other category protected under the law. Akraya is an equal opportunity employer; committed to a community of inclusion, and an environment free from discrimination, harassment, and retaliation.