Regulatory Compliance Analyst (SIE, Series 99)

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