Description

Robert Half is looking for a contractor to help our client for the next 4-6 months in a Compliance Analyst/Admin position.

Responsibilities:

• Review and approve all periodic, quarterly and annual promotional materials for Guaranteed Introducing Brokers.

• Ensure all corrective actions are taken for all Guaranteed Introducing Brokers pertaining to external audits conducted.

• Issue and track internal annual associated person training to all Guaranteed Introducing Brokers

• Ensure that all Guaranteed Introducing Brokers complete required annual training on-time to remain compliant.

• Maintenance of monitoring and tracking of GIB regulatory requirements

• Conduct search for CFTC 4G inquiries

Requirements

Requirements:

• Strong organizational skills

• Strong communication skills

• Attention to detail

• A plus to have knowledge of NFA or FINRA Rules on Communications With The Public And Promotional Material

• A plus to have FCM knowledge

• A plus to have knowledge of registration of individuals within the regulator’s registration system

• Time management skills

• Proficient with Outlook, Excel, and Word

Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more.

All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.

© 2024 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use (https:///www.roberthalf.com/us/en/terms) .