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Senior Investment Advisory Compliance Analyst
Osaic | |
United States, Louisiana | |
August 05, 2022 | |
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Advisor Group Careers
Be a part of the team behind our success! At Advisor Group, we support financial professionals nationwide, the people who help everyday Americans achieve their dreams. We're a billion-dollar business with the mentality and drive of a startup. Join us in building something special. RIA Compliance and Risk Opportunity in Financial Services Senior Investment Advisory Compliance Analyst Location: This position is open to qualified candidates in all locations and remote. Summary: The Senior Investment Advisory Compliance Analyst will be involved in a variety of compliance functions including monitoring & testing, risk assessment, training, remediation and reporting of compliance issues within the RIA firms under direction of the RIA Compliance Officer. This Senior Investment Advisory Compliance Analyst is involved on a day to day basis in interpreting and applying compliance policies and procedures to business practices. Responsibilities:
Education Requirements:
Basic Requirements:
Preferred Requirements:
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