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Series 7 Licensed Senior Compliance Analyst
A company is looking for a Licensed (Series 7) Senior Compliance Analyst - Investment Advisory. Key Responsibilities Provide guidance on advisory compliance and fulfill 206(4)-7 testing for the investment advisor Support the management of the Conflicts of Interest program and assist with regulatory inquiries Conduct analysis of compliance issues and recommend new policies and procedures Required Qualifications Bachelor's Degree or equivalent experience Five years of relevant experience in broker-dealer/investment advisory compliance Required FINRA registration (Series 7); preferred Series 63/65 or Series 66 Strong knowledge of annuity products, securities, and investment advisory products Ability to make independent assessments and provide leadership in compliance framework evolution
A company is looking for a Licensed (Series 7) Senior Compliance Analyst - Investment Advisory.
Key Responsibilities
Provide guidance on advisory compliance and fulfill 206(4)-7 testing for the investment advisor
Support the management of the Conflicts of Interest program and assist with regulatory inquiries
Conduct analysis of compliance issues and recommend new policies and procedures
Required Qualifications
Bachelor's Degree or equivalent experience
Five years of relevant experience in broker-dealer/investment advisory compliance
Required FINRA registration (Series 7); preferred Series 63/65 or Series 66
Strong knowledge of annuity products, securities, and investment advisory products
Ability to make independent assessments and provide leadership in compliance framework evolution
