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)
