Upvote
Downvote
Intermediate Compliance Analyst, Regulatory Compliance
Share Job
- Suggest Revision
Full-time
- What You Will Do: The Intermediate Compliance Analyst will help to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements.
- Work closely with CCO in management and coordination of applicable securities industry compliance program.
- Areas of experience desired may vary based upon assigned compliance functions and may include contract development, claims, underwriting, legal research, fraud or anti-money laundering investigations and/or communications.
- Securities and some advertising industry positions require a general knowledge of the securities laws, regulations, rules, and applicable FINRA licensing (Series 7 & 24 or Series 6 & 26, as applicable).
- Wealth Benefits ; Competitive Pay, Bonus, and Benefits Package; Pension Plan, 401k Match, Employee
Active Job
Updated 6+ months agoSimilar Job
Relevance
Active