Regulatory Compliance Analyst (SIE, Series 99)
VirtualVocationsBirmingham, Alabama, United Statesjob_description.job_card.1_day_ago
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A company is looking for a Regulatory Compliance Analyst.
Key Responsibilities
Produce, validate, and submit non-financial regulatory reports
Collaborate with various business units to ensure compliance with regulations
Assist in interpreting new regulations and updating compliance processes
Required Qualifications
Knowledge of non-financial regulatory reporting requirements
Experience in trading or compliance roles
Licenses : SIE and Series 99 (or ability to obtain within 120 days)
Minimum of High School Diploma or equivalent
Proficiency in Microsoft Office applications
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Regulatory Compliance Analyst • Birmingham, Alabama, United States
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