Role details

Compliance Analyst

Los Angeles   •  Permanent

Bullet points

  • Great Opportunity to join a Prestigious Broker Dealer
  • Junior Compliance Officer Role!

About Our Client

Our client is a consulting and service company that supports independent investment professionals

Job Description

The duties of this position will include but are not limited to:

  1. Review representatives' sales, marketing and advertising materials for compliance with firm policy and regulatory obligations, including corresponding and collaborating with field to provide necessary revisions
  2. Act as a liaison between the Compliance Department and our field representatives, communicating firm policy and educating field on firm, FINRA and SEC rules and regulations
  3. Conduct website and social media profile reviews for adherence to firm and regulatory polices
  4. Researches and interprets new rules and regulations
  • Other duties as needed

The Successful Applicant

  • 4 year degree in accounting, finance or other business related field
  • 2+ years of experience the financial services industry
  • Series 7 and Series 24 licenses required

What's on Offer

  • This role offers a competitive salary and bonus structure that is commensurate with current salary and experience
  • Full benefits package

Apply for this job

Click the Apply or LinkedIn button below or contact Teobesta Ashenafi quoting job reference 1214129
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