Wealth Management Compliance Analyst
Wealth Management Compliance Analyst
The Wealth Management Compliance Analyst supports the compliance and Anti-Money Laundering (AML) framework for NDIP subsidiaries. This role conducts regulatory and data analysis, assists with audit remediation, prepares reports and presentations and collaborates with leadership teams to ensure adherence to all compliance, AML and supervisory requirements within the Wealth Management division.
Key Responsibilities
Analyze written supervisory procedures, AML procedures, relevant regulations, and other compliance documentation.
Review and analyze various financial data sets, including investment accounts, bank accounts, transaction activity, trade activity, and email reviews.
Prepare presentation decks, financial analysis, and general project materials for management, department leaders, and the board.
Support remediation of prior audit findings and help implement controls to prevent repeat issues.
Contribute to maintaining a strong compliance and AML framework across NDIP subsidiaries.
Assist with Major Expense Requisition plans, tactics, and related deliverables.
Work closely with the Chief Compliance Officer, BSA department, and Wealth Management leadership team to meet compliance goals within established timeframes.
Maintain accurate documentation and reporting for compliance-related activities.
Required Skills
Strong analytical and data manipulation skills.
Advanced proficiency in Microsoft Excel, PowerPoint, Word, Outlook and related applications.
Ability to prioritize and manage multiple tasks in a fast-paced, deadline-driven environment.
Strong written and verbal communication skills English and Spanish.
Ability to work independently and in a team-oriented environment.
High commitment to accuracy, efficiency, and high-quality work.
Education & Experience
Minimum of 1 year of experience in a compliance, AML, or related analytical role.
Preferably experience in the financial, insurance, or wealth management sector.
Education may substitute for experience.
Associate degree preferred.
While performing the duties of this job, the employee will frequently move within the location; sit for extended periods; use a computer; engage in verbal communication; read and write; concentrate on tasks; reason and analyze information; and perform calculations.
Note: This description indicates, in general terms, the type and level of work performed and responsibilities held by the team member(s). Duties described are not to be interpreted as being all-inclusive or specific to any individual team member.No Third Party Agencies or Submissions Will Be Accepted.
Our company is committed to creating a diverse environment. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status. DFWP
Opportunities posted here do not create any implied or express employment contract between you and our company / our clients and can be changed at our discretion and / or the discretion of our clients. Any and all information may change without notice. We reserve the right to solely determine applicant suitability. By your submission you agree to all terms herein.