Compliance Officer

Our Client, a Global Financial Services Firm, is seeking a Compliance Analyst to support compliance monitoring, regulatory reporting, and risk management initiatives within a dynamic financial services environment. This role is responsible for ensuring adherence to internal policies, SEC Rule 15c3-3 requirements, and applicable regulatory standards while partnering with cross-functional teams to identify and mitigate compliance risks.Key Responsibilities:Review and assess internal processes to identify potential compliance risks.Conduct compliance reviews and audits, documenting findings and recommendations.Monitor regulatory changes and assist with updating policies and procedures.Support investigations into compliance-related matters and recommend corrective actions.Partner with internal stakeholders to ensure compliance with legal and regulatory requirements.Assist with compliance training and awareness initiatives.Maintain accurate documentation while handling sensitive and confidential information.Qualifications:Experience in compliance, risk management, internal audit, or a related field.Knowledge of SEC Rule 15c3-3 and other regulatory frameworks such as SOX, GDPR, or HIPAA is preferred.Strong analytical, research, and communication skills.Proficiency with Microsoft Office and compliance management tools.Exceptional attention to detail and the ability to manage confidential information.