Compliance Analyst

Company: Kforce Finance and Accounting ( Learn More )

General Information
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Job Description


Kforce has a client seeking a Compliance Analyst in Newark, Delaware (DE).Essential Functions:
  • Reviews transactional details for subject employee's personal brokerage accounts in accordance with compliance regulations
  • Review and reconciliation of employee pre-cleared transactions vs. account documentation
  • Implementation of the firm's Approved Broker Electronic Feeds policy
  • Review and escalation of PAD Policy Violations to Compliance Advisory partners as applicable
  • Implementation of tactical and strategic improvements to Employee Compliance platforms and processes
  • Communicate regularly with Compliance Management team and Employees regarding personal account dealing
  • Collect, collation and reconciliation of employee's documents required for brokerage account disclosures and person al trading activity
  • Participate in special assignments and ad hoc requests
  • Coordination with external brokers holding employees' personal brokerage accounts
  • Job Requirements


    • Communicating
    • Interpersonal Skills
    • Productivity
    • Quality Management
    • Customer Orientated
    • Deadline Oriented
    • Initiative
    • Internal Control
    • Proactive
    • Responsiveness
    • Systems/Procedures
    Kforce is an Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, pregnancy, sexual orientation, gender identity, national origin, age, protected veteran status, or disability status.