North Carolina Licensed Compliance Analyst
A company is looking for a Senior Compliance Analyst - Investor Services (Remote). Key Responsibilities Provide leadership and oversight for daily workload, serving as a resource for regulatory exams and risk assessments Lead research and investigation of unusual activities to ensure compliance with applicable laws and regulations Source, validate, and analyze data for discrepancies and risks, communicating findings effectively Required Qualifications Bachelor's Degree and 4 years of experience in Analytics or Financial Compliance/Regulatory environment, or High School Diploma/GED and 8 years of relevant experience Valid FINRA Series 7 & 24
A company is looking for a Senior Compliance Analyst - Investor Services (Remote).
Key Responsibilities
Provide leadership and oversight for daily workload, serving as a resource for regulatory exams and risk assessments
Lead research and investigation of unusual activities to ensure compliance with applicable laws and regulations
Source, validate, and analyze data for discrepancies and risks, communicating findings effectively
Required Qualifications
Bachelor's Degree and 4 years of experience in Analytics or Financial Compliance/Regulatory environment, or High School Diploma/GED and 8 years of relevant experience
Valid FINRA Series 7 & 24
