- Review of trade surveillance alerts and escalate issues, where appropriate, to relevant stakeholders for investigation and resolution
- Review, process and investigate personal account dealing and outside business affiliations/activities
- Maintain periodic (daily/weekly/monthly/quarterly) watch/restricted list reports
- Perform regulatory required periodic compliance testing
- Process FINRA related registration and exam requirements
- Maintain daily management and status reports
- Perform ongoing review of policies and procedures for period updates
- Develop procedures for new activities or functions
- 0-1 year of relevant experience
- Associate or bachelor's degree preferred
- Excellent written, communication, and presentation skills
- Ability to interact and work closely with business stakeholders at all levels of seniority
- Possess strong analytical thinking and critical reasoning skills
- Ability to work effectively in a team environment
- Ability to effectively handle a fast-paced environment and successfully meet established deadline requirements
- ACAMS and/or SIE certification a plus
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Analyst - Compliance and Operations - Kennedy Space Center, United States - Capco
Description
About the team:Capco Managed Services team partners with financial institutions to provide scalable solutions for our clients to run their operations effectively and efficiently, while in parallel, delivering strategic and transformative advisory services. Our value-added solutions enabled by AI and Automation are flexible and adaptable based on each client's strategic objectives, products and services offered, as well as delivery channels. Our services and solutions are core agnostic and easily integrated. We supplement internal processes and talent with our diverse subject matter expertise and years of experience in the financial services industry. With a proven track record spanning 25+ years, our team is adept in delivering sustainable results, implementing quality control into all programs, adhering to strict SLAs, aligning delivery incentive with our clients, and delivering continuous improvement and value beyond cost efficiency.
About the Job:
The Analyst will engage in key activities such as compliance and operations monitoring, governance, oversight, and regulatory reporting, working closely with the compliance and internal control teams. This role is vital for ensuring that the firm and its employees adhere to all applicable federal and state laws, as well as the rules and regulations set by bodies like the Securities and Exchange Commission, The Federal Reserve Bank, the Commodity Futures Trading Commission, and the Financial Industry Regulatory Authority (FINRA). Additionally, the Analyst will ensure compliance with other governmental agencies, self-regulatory organizations, internal policies, and industry best practices.
What You'll Get to Do:
A career at Capco is a chance to help reshape the competitive landscape in financial services. We launch new banks, transform existing ones, and help our clients navigate complex change. As consultants, we work on the front-end business design all the way through to technology implementation.
We are the largest Financial Services focused consultancy in the world, serving everyone from global banks to emerging FinTechs, from strategy through digital transformation, design, business consulting, data and analytics, cyber, cloud, technology architecture, and engineering.
Capco is a young and growing firm. We maintain an entrepreneurial spirit and growth mindset and have minimal bureaucracy. We have no internal silos that get in the way of your career opportunities or ability to focus on our clients and make a difference to the business. We offer the opportunity for everyone to learn rapidly, take on tough challenges, and get promoted quickly. We take pride in our creative, collaborative, diverse, and inclusive culture, where everyone can #BYAW.
We offer highly competitive benefits, including medical, dental and vision insurance, a 401(k) plan, tuition reimbursement, and a work culture focused on innovation and creation of lasting value for our clients and employees.
Ready to take the Next Step ?
If this sounds like you, we would love to hear from you. This is an opportunity to make a difference and contribute to a highly successful company with a significant growth trajectory.
