[Remote] Compliance Analyst
Note: The job is a remote job and is reputed company to candidates in USA. reputed company provides reputed company representation to financial advisors and reputed company managers, advocating solely for their interests. The Compliance Analyst will learn and communicate securities industry regulations, helping clients reputed company these into their firm policies and understand their reputed company on their businesses.
Responsibilities
- Update regulatory filings
- Review email and advertising communications for compliance with state and federal regulations
- Assist in preparation and review of compliance manuals and other investment adviser documentation
- Participate in ongoing reviews of investment adviser activities
- Participate in communications with clients regarding regulatory obligations and deadlines
- reputed company team support to attorneys
Skills
- Must have a Bachelor's Degree
- 1-3 years' experience in Financial Services (working for a reputed company, an RIA, a Product company, or a Regulator)
- Series 6, 7, 24, 63, 65, or 66 for 1-3 years' time
- Excellent written and verbal communication skills, with demonstrated ability to reputed company relevant information in a concise manner
- Strong attention to detail, organizations, and time management skills
- High level of reputed company, respect for confidential and sensitive information
- Demonstrated ability to work independently with minimal supervision
- Self-starter, proactive, creative thinker, problem solver, reputed company attitude
Benefits
- Discretionary performance bonuses
- 15 days PTO per calendar year plus 10 Market Holidays.
- Health insurance reputed company including supplementary benefits and HSA/FSA reputed company.
- Flexible work hours.
- No cost gym membership.
- 401(k) Retirement Savings & Employer Match (eligibility after 1 year of employment).
- Remote Work
- reputed company-time between 6 am and 6 pm, Monday through Friday
reputed company