Telecommute Senior RIA Compliance Analyst

Job ID: Available for Members

Location: Connecticut, New Jersey, New York, Pennsylvania

Compensation: To Be Discussed

Staff Reviewed: Mon, Jan 07, 2019

Job Category: Financial

Telecommute Level: Frequently

Travel Requirements: Field Travel Required, Some Travel

Weekly Hours: Day Shift, Full Time

Employment Status: Permanent

Employer Type: Employer

Career Level: Experienced

Education Level: Bachelors

Job Summary

A financial services company has an open position for a Telecommute Senior RIA Compliance Analyst.

Candidates will be responsible for the following:

  • Participating in and leading projects relevant to the organization
  • Providing oversight and surveillance of investment advisers' activities
  • Leading and participating in multiple special assignments, training efforts, and project teams

Qualifications Include:

  • Limited travel, up to 15%, in the New York tri-state area
  • A Bachelor's Degree is required
  • Series 7 and Series 24 required
  • Minimum five years of experience in the financial services industry
  • Proficiency in MS Office: Word, PowerPoint and Excel as well as Adobe
  • Knowledge of the Investment Advisers Act of 1940 and other Federal securities laws