Senior Compliance Analyst

Job Summary

A company is looking for a Senior Compliance Analyst.

Key Responsibilities:

• Perform delegated supervisory activities, oversight, surveillance, and exception reporting research and review
• Assist managers with compliance tasks and responsibilities to ensure branch office compliance
• Help draft, revise, and enforce policies and procedures and communicate branch-level policy to sales managers and representatives

Required Qualifications:

• 3 years of relevant compliance or securities-related experience
• FINRA Series 7 and 24 registrations
• Strong knowledge of securities and insurance rules and regulations
• Strong knowledge and expertise of retirement plans, products, and concepts
• Strong aptitude with retail brokerage and advisory platforms