Job Summary
A financial services company needs applicants for an opening for a Remote RIA Senior Compliance Analyst.
Individual must be able to fulfill the following responsibilities:
- Identify process improvements and strategies
- Provide direction and guidance to firm personnel and field associates
- Assist management with providing regulatory oversight
Must meet the following requirements for consideration:
- Comprehensive knowledge of the securities laws, regulations, rules, and applicable FINRA licensing
- Bachelor's degree in business, marketing, pre-law or other relevant field, or equivalent education and experience
- Proficiency using MS Office tools
