Remote Broker Dealer Senior Compliance Analyst

Job Summary

A financial services company is filling a position for a Remote Broker Dealer Senior Compliance Analyst.

Must be able to:

• Review and analyze current policies and procedures
• Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives

Position Requirements Include:

• Bachelor’s degree, or equivalent education and experience
• Minimum of 2 years of regulatory, securities, or advertising compliance experience
• Securities licenses (Series 7,24 and 66, or obtained within 150 days of hire)