Series 7 Licensed Senior Compliance Analyst

Job Summary

A company is looking for a Licensed (Series 7) Senior Compliance Analyst - Investment Advisory.

Key Responsibilities

• Provide guidance on advisory compliance and fulfill 206(4)-7 testing for the investment advisor
• Support the management of the Conflicts of Interest program and assist with regulatory inquiries
• Conduct analysis of compliance issues and recommend new policies and procedures

Required Qualifications

• Bachelor's Degree or equivalent experience
• Five years of relevant experience in broker-dealer/investment advisory compliance
• Required FINRA registration (Series 7); preferred Series 63/65 or Series 66
• Strong knowledge of annuity products, securities, and investment advisory products
• Ability to make independent assessments and provide leadership in compliance framework evolution