Job Description
We are looking for an Associate Compliance Analyst to support the broker-dealers’ Chief Compliance Officer (CCO) and compliance team. The role is ideal for a high-functioning, energetic professional with compliance experience within a broker- dealer and an understanding of FINRA Broker-Dealer and SEC Registered Investment Advisor regulations. In this role, you will assist in supporting and monitoring the regulatory compliance program reporting directly to the Broker-Dealer’s Chief Compliance Officer and supporting our affiliated SEC Registered Investment Advisor compliance programs pursuant to applicable SEC and FINRA regulations and firm policies and procedure
Responsibilities
Requirements and Skills
Candidates are subject to a background and credit check, pre-employment tests, and must be authorized to work in the US.
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