Compliance Operations Analyst

Job Summary

A company is looking for a Compliance Operations Analyst to support its enterprise compliance program.

Key Responsibilities

• Manage employee compliance inquiries and compliance ticketing system
• Support employee and firm registrations, including regulatory filings
• Assist with compliance program administration and preparation for regulatory reviews

Required Qualifications

• Bachelor's degree required
• 1-3 years of experience in compliance or regulatory roles within financial services
• Working knowledge of SEC regulations and state registration requirements
• Proficiency in Microsoft Office applications
• Preferred experience with compliance tracking or ticketing systems