QualStaff Resources
Financial Compliance Analyst
QualStaff Resources, San Diego, California, United States, 92189
Compliance Analyst – Financial Services Industry
QUICK FACTS
Location:
La Jolla, CA (Hybrid work schedule)
Pay range:
$37-47/hr (DOE)
Duration:
6 months with potential to extend
EXPERIENCE/EDUCATION YOU WILL NEED
5+ years of experience in compliance and internal auditing within the financial services industry
Bachelor's degree in Finance, Accounting, Business Administration, or related field. Advanced degree or professional certification (e.g., CPA, CIA, CFE) preferred.
Knowledge of regulatory frameworks, including SEC, FINRA, SOX, GDPR.
Excellent communication and interpersonal skills, with the ability to effectively communicate findings and recommendations to stakeholders at all levels of the organization.
MAIN DUTIES OF THE JOB
Perform internal audits focused on compliance with laws, regulations, and company policies.
Assess the adequacy and effectiveness of internal controls across business units.
Identify gaps, risks, and areas of non-compliance, and propose corrective actions.
Prepare clear, concise audit reports and present findings to management.
Monitor remediation efforts and verify implementation of corrective measures.
The company is an equal opportunity employer committed to providing employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age or disability, or any other class protected by Federal, State or local laws.
Job Details
Seniority level: Mid-Senior level
Employment type: Contract
Job function: Legal
Industries: Staffing and Recruiting
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Location:
La Jolla, CA (Hybrid work schedule)
Pay range:
$37-47/hr (DOE)
Duration:
6 months with potential to extend
EXPERIENCE/EDUCATION YOU WILL NEED
5+ years of experience in compliance and internal auditing within the financial services industry
Bachelor's degree in Finance, Accounting, Business Administration, or related field. Advanced degree or professional certification (e.g., CPA, CIA, CFE) preferred.
Knowledge of regulatory frameworks, including SEC, FINRA, SOX, GDPR.
Excellent communication and interpersonal skills, with the ability to effectively communicate findings and recommendations to stakeholders at all levels of the organization.
MAIN DUTIES OF THE JOB
Perform internal audits focused on compliance with laws, regulations, and company policies.
Assess the adequacy and effectiveness of internal controls across business units.
Identify gaps, risks, and areas of non-compliance, and propose corrective actions.
Prepare clear, concise audit reports and present findings to management.
Monitor remediation efforts and verify implementation of corrective measures.
The company is an equal opportunity employer committed to providing employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age or disability, or any other class protected by Federal, State or local laws.
Job Details
Seniority level: Mid-Senior level
Employment type: Contract
Job function: Legal
Industries: Staffing and Recruiting
#J-18808-Ljbffr