Compliance Analyst
The Judge Group Inc.

Newark, Delaware

Location: Newark, DE
One of our top financial client's is currently seeking a Compliance Analyst
Location: Newark, DE
Term Lengths: 6 months + high possibility to be extended and/or be converted to permanent employee

Brief Overview:

Responsible for the coordination and completion of all government, regulatory, and compliance documents for all business units in an organization. Familiar with standard concepts, practices, and procedures within a particular field. Relies on limited experience and judgment to plan and accomplish goals. Performs a variety of tasks. May lead and direct the work of others. A certain degree of creativity and latitude is required. Typically reports to a supervisor or manager.

This job will have the following responsibilities:

  • Sourcing appropriate background documents for FINRA registration and/or insurance licensing from employees and managers
  • Maintaining and tracking documentation
  • Coordination with Insurance and Securities Regulators to process onboarding and amendments on a timely basis
  • Monitoring operational processing controls
  • Ensuring regulatory requirements are met by the employee
  • Ability to build and maintain effective working relationships with Sales Representatives, all levels of management, and external parties

Qualifications & Requirements:
  • Bachelor's degree or equivalent work experience
  • Experience in AML, KYC and/or working with trade registrations such as FINRA
  • Strong analytical and problem solving skills with the ability to recommend and make decisions autonomously
  • Ability to thrive in a changing work environment and manage well under pressure
  • Quick learner, team player, results-oriented, self-motivated, flexible approach to work hours
  • Proactive approach to problem-solving, a logical thinker
  • Strong oral and written communication and presentation skills
  • Regulatory or operations knowledge of securities and/or insurance a plus
  • Intermediate proficiency with Microsoft Excel (e.g. pivot tables, macros, data analytics, etc.), PowerPoint, Vision (e.g. process mapping), and Outlook
  • Document review experience and high attention to detail

This job and many more are available through The Judge Group. Find us on the web at

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