North Carolina Licensed Compliance Analyst

Job Summary

A company is looking for a Senior Compliance Analyst - Investor Services (Remote).

Key Responsibilities

• Provide leadership and oversight for daily workload, serving as a resource for regulatory exams and risk assessments
• Lead research and investigation of unusual activities to ensure compliance with applicable laws and regulations
• Source, validate, and analyze data for discrepancies and risks, communicating findings effectively

Required Qualifications

• Bachelor's Degree and 4 years of experience in Analytics or Financial Compliance/Regulatory environment, or High School Diploma/GED and 8 years of relevant experience
• Valid FINRA Series 7 & 24