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Compliance Analyst in Rockville, MD at ConsultNet

Date Posted: 3/12/2019

Job Snapshot

Job Description

Our client, one of the largest Amazon Web Services (AWS) partner for data services, is looking for top talent to join their elite team of technologists to build and contribute to large-scale, innovative projects. Our client wants candidates who are eager to learn and grow with them as they work to move their market monitoring applications to modern big data platforms in the cloud where up to 60 billion market events are being processed each day.

Our client is looking for a Compliance Analyst:
The Compliance Analyst supports the evaluation, identification, implementation and maintenance of new/enhanced systems, products and processes related to company-wide compliance activities, including, but not limited to the Sarbanes Oxley Act for Section 404 (SOX 404) compliance, Regulation Systems Compliance and Integrity (Reg SCI), Securities & Exchange Commission (SEC) inspections, Service Organization Controls (SOC 2), Internal Audits, and other departmental governance activities.
Job Responsibilities:

  • Serve as a liaison for all parties in connection with internal and external IT compliance activities
  • Maintain policies and procedures to ensure compliance with applicable regulation requirements
  • Assist with report development and provide detailed status updates
  • Develop a strong understanding of applicable regulations for which the department is subject
  • Assist with the collection of status updates on open IT audit findings, conduct complex investigations and ensure all outstanding issues have been resolved in order to close all issues by the stated deadline
  • Assist with the development of annual regulatory training for FINRA staff
  • Assist with the maintenance of document repositories
  • Assist with the management of all compliance related policies, procedures, and related documentation
  • Assist with the monitoring of all incidents and maintenance of appropriate metrics for reporting to senior management
  • Assist with system changes and related testing and implementation efforts

Education/Experience Requirements: 

  • Bachelor's degree in business, technology, or equivalent work experience
  • Two to five (2-5) years of IT audit or related compliance experience (Big 4 audit experience is preferred)
  • Proficiency in full suite of Microsoft Office applications (i.e. Word, PowerPoint and Excel)
  • Experience in documenting policies and procedures, system issues, and drafting guidelines and training materials
  • Experience communicating with technical, operational, and legal teams
  • Demonstrate critical thinking, sound judgment, and high attention to detail
  • Strong verbal and written communication skills
  • Strong organizational skills
  • Strong project management skills (a plus)
  • Ability to maintain focus and develop proficiency in new skills rapidly 
  • Ability to work in a fast paced environment
  • Excellent collaborator 

ConsultNet is an Equal Opportunity Employer. Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, ancestry, citizenship, disability, age, military or veteran status, and other characteristics protected under federal, state and local law.