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Compliance Analyst
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$55,000 - $65,000 a year
Full-time
- The Compliance Analyst will be responsible for completing Field Advisor and product activity-based reviews.
- This position reports to the Compliance Manager.
- Creates representative summaries detailing negative trends including high rates of variable annuity replacements, mutual fund B-share and C-share concerns, high rates of mutual fund switching, alternative investment liquidity issues, etc.
- Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds is required.
- Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation
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