Investment Advisor Compliance Analyst

A company is looking for an Investment Advisory Compliance Analyst to assist with the administration of its Investment Adviser Compliance Program. Key Responsibilities Perform risk assessments and control testing as part of the annual compliance review Assist with regulatory filings and the preparation of reports for senior management Support the development and administration of investment adviser policies and procedures manuals Required Qualifications Bachelor's degree in business management, Finance, Economics, or a related field 1-4 years of investment advisory compliance-related work experience preferred Ability to obtain Series 7, 63, and 65 or 66 within six months of employment Experience with business ethics and understanding of securities laws and regulations Project management experience and ability to track and execute project tasks

Mar 25, 2025 - 23:47

A company is looking for an Investment Advisory Compliance Analyst to assist with the administration of its Investment Adviser Compliance Program. Key Responsibilities Perform risk assessments and control testing as part of the annual compliance review Assist with regulatory filings and the preparation of reports for senior management Support the development and administration of investment adviser policies and procedures manuals Required Qualifications Bachelor's degree in business management, Finance, Economics, or a related field 1-4 years of investment advisory compliance-related work experience preferred Ability to obtain Series 7, 63, and 65 or 66 within six months of employment Experience with business ethics and understanding of securities laws and regulations Project management experience and ability to track and execute project tasks