Compliance Analyst with FINRA License

A company is looking for a Compliance Analyst to support ongoing compliance operations in a regulated fintech environment.

Key Responsibilities
  • Support compliance operations for a registered broker-dealer and transfer agent, including policies and regulatory filings
  • Assist with monitoring, surveillance activities, and regulatory exams or audits
  • Track regulatory changes and assess their potential impact on the business
Required Qualifications
  • 4+ years of experience in AML/KYC compliance, risk, or regulatory operations within financial services
  • Experience in broker-dealer and AML/KYC compliance in a FINRA/SEC regulated environment
  • Familiarity with AML/KYC, trade surveillance, and regulatory reporting
  • Experience with investigation tools such as Lexis Nexis and World Check
  • Relevant certifications such as CAMS or FINRA licenses
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Common Interview Questions And Answers

1. HOW DO YOU PLAN YOUR DAY?

This is what this question poses: When do you focus and start working seriously? What are the hours you work optimally? Are you a night owl? A morning bird? Remote teams can be made up of people working on different shifts and around the world, so you won't necessarily be stuck in the 9-5 schedule if it's not for you...

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When you're working on a remote team, there's no way to chat in the hallway between meetings or catch up on the latest project during an office carpool. Therefore, virtual communication will be absolutely essential to get your work done...

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7. HOW DO YOU ORGANIZE FILES, LINKS, AND TABS ON YOUR COMPUTER?

Just like your schedule, how you track files and other information is very important. After all, everything is digital!...

8. HOW TO PRIORITIZE WORK?

The day I watched Marie Forleo's film separating the important from the urgent, my life changed. Not all remote jobs start fast, but most of them are...

9. HOW DO YOU PREPARE FOR A MEETING AND PREPARE A MEETING? WHAT DO YOU SEE HAPPENING DURING THE MEETING?

Just as communication is essential when working remotely, so is organization. Because you won't have those opportunities in the elevator or a casual conversation in the lunchroom, you should take advantage of the little time you have in a video or phone conference...

10. HOW DO YOU USE TECHNOLOGY ON A DAILY BASIS, IN YOUR WORK AND FOR YOUR PLEASURE?

This is a great question because it shows your comfort level with technology, which is very important for a remote worker because you will be working with technology over time...