$70,000 to $80,000
2 months ago
We’ve partnered with an exciting broker dealer looking to add a Compliance Analyst to their growing team. This is a hybrid position based out of Washington D.C.
What you’ll be doing:
- Conduct compliance testing under Rule 206(4)-7 and 3120Assist with the maintenance of policies and procedures, compliance testing, and reviews
- Assist in reviews of financial plans, retirement plans and ORIA activity
- Review Sponsor Due Diligence Event requests, flagged exceptions, and transactions
- Serve as training support for compliance staff
- Work on document requests from regulatory bodies such as FINRA, SEC, and internal audit and legal
- Bachelor’s degree or relevant work experience
- 2+ years of experience in financial services, securities, regulatory, or legal compliance
- Must have FINRA series 7 & 24.
For more information please contact Nicole Izurieta at Hamlyn Williams at email@example.com