Compliance Analyst

Genesis10 is currently seeking a Compliance Analyst. This is a Hybrid remote position located in New York, NY. This is a 12+ month contract opportunity and requires 3 days onsite.

This role supports the Registrations program for a Global Financial Institution. As part of the Employee Compliance Team, the ideal candidate will manage the registrations and licensing process for the firm and its associated persons, coordinating with various internal stakeholders to ensure functional and control integrity.

Responsibilities:

• Prepare U4, U5, and BR filings
• Handle Monthly Safe Harbor filings
• Maintain associated persons (AP) list, licenses and supervisory reporting map
• Review workflow queues and reports, e.g., Web CRD
• Process fingerprinting and background check procedures
• Coordinate study materials and regulatory examination preparation
• Other duties as required

Requirements:

• Understanding of vendor systems, knowledge of Web CRD, Gateway, Form U4, U5, BR and reporting
• Proactive, self-starter that is comfortable in being part of developing new programs and enhancing existing programs
• Excellent written and verbal communication skills
• Knowledge of core competencies across the Securities broker/dealer registrations and licensing rules
• Only candidates available and ready to work directly as Genesis10 employees will be considered for this position

Pay range: Up to $50.00 per Hour

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If you have the described qualifications and are interested in this exciting opportunity, please apply!

Ranked a Top Staffing Firm in the U.S. by Staffing Industry Analysts for six consecutive years, Genesis10 puts thousands of consultants and employees to work across the United States every year in contract, contract-for-hire, and permanent placement roles. With more than 300 active clients, Genesis10 provides access to many of the Fortune 100 firms and a variety of mid-market organizations across the full spectrum of industry verticals.

For contract roles, Genesis10 offers the benefits listed below. If this is a perm-placement opportunity, our recruiter can talk you through the unique benefits offered for that particular client. Benefits of Working with Genesis10:

• Access to hundreds of clients, most who have been working with Genesis10 for 5-20+ years.
• The opportunity to have a career-home in Genesis10; many of our consultants have been working exclusively with Genesis10 for years.
• Access to an experienced, caring recruiting team (more than 7 years of experience, on average.)
• Behavioral Health Platform
• Medical, Dental, Vision
• Health Savings Account
• Voluntary Hospital Indemnity (Critical Illness & Accident)
• Voluntary Term Life Insurance
• 401K
• Sick Pay (for applicable states/municipalities)
• Commuter Benefits (Dallas, NYC, SF, and Illinois)

For multiple years running, Genesis10 has been recognized as a Top Staffing Firm in the U.S., as a Best Company for Work-Life Balance, as a Best Company for Career Growth, for Diversity, and for Leadership, amongst others. To learn more and to view all our available career opportunities, please visit us at our website.

Genesis10 is an Equal Opportunity Employer. Candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.