Job Summary
A financial advisory firm has an open position for a Remote Triad Advisors Lead Compliance Analyst.
Must be able to:
- Perform review of Registered Representative new hires
- Assist the Chief Compliance Officer with regulatory filings and disclosures including Forms U4/U5, Form BD and NIPR filings
- Evaluate and provide guidance to Registered Representatives on issues involving Senior/Vulnerable Adult clients
Applicants must meet the following qualifications:
- Effective written and oral communication skills
- Ability to supervise firm responses to Regulatory Audits in conjunction with CCO
- Effective analytical skills
- Ability to work independently and effectively solve problems while managing a high volume of work