Compliance Analyst Intermediate (3-6 years)
The Judge Group Inc.

Newark, Delaware

Posted in IT

Job Info

Location: Newark, DE
Description: Our client is currently seeking a Compliance Analyst Intermediate (3-6 years)

Job Tittle: Compliance Analyst Intermediate

Location- Newark, DE 19713

Duration: 6+ month

Job Description:

- Sourcing appropriate background documents for FINRA registration and/or insurance licensing from employees and managers

- Maintaining and tracking documentation

- Coordination with Insurance and Securities Regulators to process onboarding and amendments on a timely basis

- Monitoring operational processing controls

- Ensuring regulatory requirements are met by the employee

Responsible for the coordination and completion of all government, regulatory, and compliance documents for all business units in an organization.

Familiar with standard concepts, practices, and procedures within a particular field.

Relies on limited experience and judgment to plan and accomplish goals.

Performs a variety of tasks. May lead and direct the work of others.


This job and many more are available through The Judge Group. Find us on the web at

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