Risk & Compliance Analyst

Our client is seeking a detail-oriented compliance professional to join their team. This position offers a chance to contribute to a dynamic team and support regulatory and compliance functions, including managing broker-dealer activities and distribution efforts. The role focuses on ensuring compliance with various regulatory frameworks while assisting in key compliance initiatives.Duties:Oversee the compliance framework for broker-dealers and registered representatives.Review marketing materials for adherence to SEC, FINRA and internal policy requirements.Manage compliance issues with multiple teams.Collaborate on AML efforts and ensure KYC compliance.Analyst regulatory changes and assess the broker-dealer compliance program's effectiveness.Support regulatory responsibilities and ensure adherence to compliance frameworks.Qualifications:Bachelors Degree Required1 plus year of related experience within the investment management industry. Series 7 license is requiredStrong knowledge of US Financial Regulations and Compliance Procedures.

Created: 2024-11-01