This Job Vacancy has Expired!

Regulatory Compliance Analyst

Posted on Jul 10, 2022 by Request Technology

Dallas, TX 75201
Immediate Start
$65k - $85k Annual

Regulatory Compliance Analyst

Salary: $65k-$85K

Location: Hybrid role in either location

Chicago, IL/Dallas, TX

*We are unable to provide sponsorship for this role*

A prestigious financial company is seeking a Regulatory Compliance Analyst


  • Bachelor's degree or equivalent required
  • 2-3 years of experience in Compliance, Risk Management, Audit, Systems Incident Analysis, Problem Management, Information Security, or related field required
  • Proficiency with MS Office software, GRC tools and web-based reporting tools.
  • Familiarity with the use of risk and control frameworks, and process improvement frameworks, including for Cloud environments (eg, COBIT, NIST CSF, NIST 800-53, COSO, ITIL, ISO 27001, ISO 9001, CMMI)
  • Familiarity with Systems Development Life Cycle (SDLC) agile process and Secure Software Development Lifecycle


  • Act as an advisor to stakeholders for systems incident analysis related to systems disruptions, compliance issues, and intrusions that impact clearing and settlement processes.
  • Facilitate the response, handling, and reporting of systems incidents in partnership with Legal, Information Technology, Business Operations, etc. to provide adequate and timely notice to the SEC, CFTC, and or other regulators
  • After hours or weekend work may be required in to support stakeholders in response to systems incidents.
  • Participate in the design and implementation, as well as execution and management of new workflows for the tracking and monitoring of systems incidents to ensure regulatory timelines are met.
  • Identify and recommend opportunities for process improvements regarding systems incident assessment, management, and escalation processes
  • Monitor daily systems incident reporting and participate in systems incident recap meetings on a weekly basis, or as needed.
  • Develop, implement, and monitor metrics and KPI's to identify, analyze, and articulate trends resulting from systems incidents.

Reference: 1663439605

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