Sr Compliance Analyst

VirtualVocations
Hamilton, New Jersey, United States
Full-time

A company is looking for a Sr Compliance / Regulatory Analyst LICKey Responsibilities : Gather and synthesize information from multiple sourcesConduct research using regulatory websites and legal research toolsProvide compliance / regulatory consult on complex compliance mattersRequired Qualifications : Bachelor's degree or relevant work experience3-10 years of experience in broker-dealer and RIA advertising complianceIn-depth knowledge of applicable laws and regulationsFINRA Series 7, 63 / 65 or 66, and 24 licenses required

10 days ago
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