Broker Dealer Compliance Analyst
FIS(3 months ago)
About this role
A Compliance Analyst I at FIS supports the regulatory compliance function for a registered broker-dealer and a UK FCA-authorized firm within a global fintech company. The role sits on the regulatory compliance team that works with business lines to ensure operations meet applicable US and UK regulatory requirements. Position is based in the Bolingbrook/Chicago, IL office.
Required Skills
- Regulatory Filings
- Securities Registration
- Surveillance
- Data Analysis
- Policy Implementation
- Risk Assessment
- Research
- Compliance Monitoring
- Communication
- Time Management
Qualifications
- Bachelor’s Degree
- SIE
- Series 7
- Series 63
About FIS
fisglobal.comFIS is fintech for bold ideas. FIS is behind the financial technology that transforms how we live, work and play.
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