Minnesota Licensed Compliance Analyst
Job Summary
To support compliance efforts, the full-time Minnesota Licensed Compliance Analyst will analyze regulatory requirements, coordinate responses to audits, and provide consultative support to business partners in a remote work environment.
Key responsibilities
- Maintain and update regulatory disclosures and coordinate responses to regulatory exams and audits
- Conduct testing and monitoring functions, including managed account testing and fee conciliation
- Communicate findings clearly to stakeholders and collaborate with key partners to address compliance deficiencies
Required qualifications
- Bachelor's degree or significant relevant work experience
- 0-5 years of directly related experience
- Strong product/industry knowledge is desired
- FINRA Series 7, 65 or 66, and 24 required or to be obtained within 90 days of hire/transfer
Complete Job Description
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