Job Description
If you are hired to this position, you will be employed by Magnit Global. You will not be employed by City National Bank.
The Opportunity
The Compliance Analyst will review a variety of broker/dealer employee compliance requests to ensure that they are in compliance with company policy. These requests include compliance items such as: notification of a new outside business activity/second job; request to purchase securities in a personal account; requests to provide gifts and/or entertainment to clients; and other FINRA required disclosures.
The Responsibilities
Responsible for identifying potential policy violations and escalating them appropriately.
Participate in resulting investigations and reporting.
Report to a supervisor with the Wealth Management Broker/Dealer Compliance division
The Qualifications
Minimum 4 years compliance experience or minimum 5 years banking operations experience.
Minimum 3 years’ experience with Microsoft program.
Knowledge of FINRA/Broker-Dealer compliance issues, specifically Form U4 reportable items, such as PST, OBA, financial/criminal disclosures, etc.
Review daily quotas of compliance items for conformance to company policy
Escalate potential policy violations to management
Good knowledge of banking operations, government regulations, accounting principles and account reconcilement.
Excellent problem solving and analytical skills required.
Excellent verbal and written communication skills required to interact with all levels of Bank personnel and outside contacts.
College degree required.
This is the pay range that Magnit reasonably expects to pay for this position: $56.67/hour - $60.75/hour
Benefits: Medical, Dental, Vision, 401K
QUALIFICATION/LICENSURE
Work Authorization : Green Card, US Citizen, Other valid work visa
Preferred years of experience : 4 years
Travel required : No travel required
Shift timings :
The Opportunity
The Compliance Analyst will review a variety of broker/dealer employee compliance requests to ensure that they are in compliance with company policy. These requests include compliance items such as: notification of a new outside business activity/second job; request to purchase securities in a personal account; requests to provide gifts and/or entertainment to clients; and other FINRA required disclosures.
The Responsibilities
Responsible for identifying potential policy violations and escalating them appropriately.
Participate in resulting investigations and reporting.
Report to a supervisor with the Wealth Management Broker/Dealer Compliance division
The Qualifications
Minimum 4 years compliance experience or minimum 5 years banking operations experience.
Minimum 3 years’ experience with Microsoft program.
Knowledge of FINRA/Broker-Dealer compliance issues, specifically Form U4 reportable items, such as PST, OBA, financial/criminal disclosures, etc.
Review daily quotas of compliance items for conformance to company policy
Escalate potential policy violations to management
Good knowledge of banking operations, government regulations, accounting principles and account reconcilement.
Excellent problem solving and analytical skills required.
Excellent verbal and written communication skills required to interact with all levels of Bank personnel and outside contacts.
College degree required.
This is the pay range that Magnit reasonably expects to pay for this position: $56.67/hour - $60.75/hour
Benefits: Medical, Dental, Vision, 401K
QUALIFICATION/LICENSURE
Work Authorization : Green Card, US Citizen, Other valid work visa
Preferred years of experience : 4 years
Travel required : No travel required
Shift timings :
💡 Quick Summary
Seeking a career-building opportunity? The Compliance Analyst position is now open for candidates interested in the Bank Jobs sector. This role in Jersey City offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.
