Compliance Officer – Data Analytics, Reporting

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

📋 Description

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

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

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

• Clarify analytical findings and limitations, document potential issues, and present summaries to compliance leadership and examination partners.

• Assist in the branch examination lifecycle, encompassing risk assessment, examination preparation, findings review, and remediation tracking.

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

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

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

• Work collaboratively with compliance, examination, business, and technology stakeholders to clarify requirements and deliver reporting solutions.

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

⛳️ Requirements

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

• Proven experience in analyzing structured data and producing 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 a comparable platform.

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

• Capability to learn relevant SEC, FINRA, and company requirements.

• Skill in evaluating data for precision, investigating anomalies, identifying significant patterns, and effectively communicating results 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 utilize them.

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

• Will not require sponsorship for U.S. work authorization at any point now or in the future.

🏝️ Benefits

• Coverage on the first day of employment for medical, dental, and vision insurance.

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

• Flexible PTO plan.

• 401k matching plan.

• HSA employer contributions.

• Student loan assistance.

• Pet insurance.

• Discretionary bonus.