Connecting linkedin

W1siziisimnvbxbpbgvkx3rozw1lx2fzc2v0cy9oyw1sew4td2lsbglhbxmvanbnl2jhbm5lci1kzwzhdwx0lwpvyi5qcgcixv0

Job

Senior Compliance Analyst

  • Location

    Rockville

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $80,000 to $90,000

  • Contact:

    Nicole Izurieta

  • Contact email:

    n.izurieta@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Job ref:

    Senior Compliance Analyst

  • Published:

    2 months ago

  • Expiry date:

    2022-04-16

  • Startdate:

    ASAP

We’ve partnered with an exciting broker dealer looking to add a Senior Compliance Analyst to their growing team. This is a hybrid position based out of Washington D.C. 

What you’ll be doing:

  • Maintain and develop policies and procedures in line with SEC, FINRA, and state rules.
  • Responsible for compliance testing under Rule 206(4)-7.
  • Review financial plans, reported Personal Brokerage Accounts, retirement plans, Sponsor Due Diligence Event requests, flagged exceptions, and transactions.
  • Assist with training for other compliance staff.

Minimum Qualifications

  • Bachelor’s degree or relevant work experience
  • 4+ years of experience in financial services, securities, regulatory, or legal compliance
  • FINRA series 7 &24

For more information please contact Nicole Izurieta at Hamlyn Williams at n.izurieta@hamlynwilliams.com 

#LI-TB1