Remote Triad Advisors Lead Compliance Analyst

Job is Expired
Location: Nationwide
Compensation: To Be Discussed
Staff Reviewed: Fri, Jan 14, 2022

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

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