Compliance Analyst - Remote

Genesis10 is currently seeking a Compliance Analyst for a remote position with a Major Financial Services Company based in Milwaukee, WI. This is a 6+ month contract opportunity.

Pay range: $35.00 - $40.00 per hour

At the core of this role, you will support staff and advisors by reviewing and approving Outside Business Activities (OBAs) and Passive Investments to ensure compliance with industry regulations and company policy. The ideal candidate will be a self-directed learner with a strong sense of ownership, capable of making risk-based decisions on technical compliance subjects.

Responsibilities:

• Review and approve Outside Business Activities and Passive Investments for home office and field registered/contracted individuals
• Act independently for items in the position's span of control
• Drive and engage in difficult conversations relating to regulatory requirements and company policy
• Effectively communicate via phone, Zoom, or email
• Effectively identify and assess risks relating to industry regulations and company policies

Requirements:

• 2-3 years of financial industry experience
• Series 7 & 24 registrations
• Experience with Microsoft Word/Excel, Adobe, & SharePoint
• Thrive as a self-directed learner with a strong sense of ownership and accountability
• Ability to move quickly with enough due diligence to identify potential conflicts or risks and then make risk-based decisions

Desired skills:

• Ability to pivot priorities depending on business needs and emergencies
• Well organized

Only candidates available and ready to work directly as Genesis10 employees will be considered for this position.

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

About Genesis10:
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 www.genesis10.com.

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.