North Carolina Licensed Compliance Analyst
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Job Summary
Supporting the Firm's electronic communications surveillance program, the remote Senior Compliance Analyst will review escalated communications, assist with investigations, and partner with stakeholders to ensure effective supervision of electronic communications.
Key responsibilities
- Review escalated electronic communications and document findings and decisions
- Support thematic reviews, surveillance projects, and branch inspections
- Participate in trend analysis, reporting, and maintain accurate case documentation
Required qualifications
- Bachelor's Degree with 4 years of experience or High School Diploma/GED with 8 years of experience in Analytics or Financial Compliance
- FINRA Series 24 license required
- 1-3 years of broker-dealer or RIA experience, preferably in supervision or compliance
- Basic understanding of securities industry regulations and supervisory concepts
- Strong organizational and analytical skills
Complete Job Description
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