Compliance Officer – Data Analytics, Reporting

This is a fully remote position, open to applicants in United States.

📋 Description

• Create and manage reports, dashboards, and analytical tools that aid in branch examination planning, data evaluation, and risk detection.

• Collect, reconcile, and verify information from compliance, branch, examination, and various business systems.

• Evaluate reporting outcomes to uncover unusual activities, recurring problems, trends, and potential compliance risks.

• Clarify analytical findings and constraints, document possible discoveries, and present summaries to compliance leaders and examination colleagues.

• Assist in the branch examination process, including risk assessment, examination preparation, findings review, and tracking remediation efforts.

• Develop and execute repeatable data-driven tests for branch examinations and associated compliance reviews.

• Contribute to testing and reporting for other priorities within the Compliance Department.

• Utilize SQL, Alteryx, or similar data preparation/reporting tools, along with Microsoft Power Automate and Power Apps, to analyze data and automate recurring tasks.

• Partner with compliance, examination, business, and technology teams to clarify requirements and provide reporting solutions.

• Document data sources, definitions, report logic, and quality assurance checks.

⛳️ Requirements

• 2–4 years of experience in data analysis, reporting, business intelligence, compliance testing, audit, or a related field; experience in financial services is preferred.

• Proven experience in analyzing structured data and creating reports or other repeatable analytical outputs for business or compliance stakeholders.

• Proficient in SQL.

• Practical experience with a reporting or data preparation tool such as Alteryx, Power BI, or an equivalent platform.

• Basic understanding of investment adviser or broker-dealer compliance, supervision, audit, or examination practices.

• Capacity to learn relevant SEC, FINRA, and company regulations.

• Ability to evaluate data for precision, investigate discrepancies, identify significant trends, and articulate findings clearly to non-technical audiences.

• Familiarity with Microsoft Power Automate and Power Apps, as well as approved AI assistants like ChatGPT, Claude, or Copilot, or the ability to quickly learn and responsibly use them.

• Must be a U.S. citizen, U.S. permanent resident, or possess other unrestricted U.S. work authorization.

• No sponsorship for U.S. work authorization will be required now or in the future.

🏝️ Benefits

• Medical, dental, and vision insurance coverage starting on the first day of employment.

• Paid parental leave (16 weeks for primary caregivers and 8 weeks for secondary caregivers).

• Flexible paid time off (PTO) plan.

• 401k matching program.

• Employer contributions to Health Savings Accounts (HSA).

• Assistance with student loans.

• Pet insurance.

• Discretionary bonus.