3 compliance analyst jobs found

STRATEGIC STAFFING SOLUTIONS HAS AN OPENING! This is a Contract Opportunity with our company that MUST be worked on a W2 Only. No C2C eligibility for this position. Visa Sponsorship is Available! The details are below. "Beware of scams. S3 never asks for money during its onboarding process." Job Title: Equities Franchise Analyst On Site Work Duration: 6 Months Location: Salt Lake City UT 84101 Job ref# 242284 Job Summary and Responsibilities: To mitigate Economic Affirmation risk in Equities, ensuring trade details are affirmed within department guidelines. Mitigate the risk of any key economic differences between both our and Client's bookings. Ensures discrepancy resolution for any disputes raised by the clients on our confirmations in a timely manner. Review and resolve discrepancies raised by clients on our confirmations. Review of incoming counterparty documents and works with the counterparties to agree the confirmation...

Client Onboarding Specialist Location: Onsite/Hybrid Pay: $23/hr W2 Duration: 6 Months Job Description: We are seeking a Client Implementation Analyst to join our Private Wealth Management (PWM) Operations team. This role is an exciting opportunity for a motivated and organized professional to collaborate closely with PWM Advisor Teams, Legal, Compliance, and Anti-Money Laundering (AML) departments to facilitate account opening and maintenance for high-net-worth clients. The ideal candidate will combine strong customer service, documentation, and risk management skills with a commitment to delivering a seamless onboarding experience. Responsibilities: Manage the end-to-end client onboarding process by reviewing and validating documentation for new PWM accounts. Partner with PWM Advisors and internal departments to ensure client documents are complete, accurate, and submitted timely. Perform due diligence and review accounts for compliance with AML and...

Securities Settlements Analyst Pay: $23.00 Salt Lake, City Duration: 6 months YOUR IMPACT The Securities Settlements team is seeking a skilled professional who will help manage settlements. In this role, you will apply your quantitative, problem solving and customer service skills to support the various business units and clients. You will also play a key role in suggesting and implementing process improvements on the team to mitigate risks and enhance the overall client experience. OUR IMPACT Operations is a dynamic, multi-faceted division that partners with all parts of the firm to deliver banking, sales and trading, and asset management capabilities to clients around the world. In addition, Operations provides essential risk management and control to preserve and enhance the firm's assets and its reputation. For every trade agreed, every new product launched or market entered, every transaction completed, it is Operations that develops the processes and controls...