Investment Compliance Analyst — Policy & Process Optimizer
Job in
Beachwood, Cuyahoga County, Ohio, 44122, USA
Listed on 2026-07-30
Listing for:
Stratos
Full Time
position Listed on 2026-07-30
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Services
Job Description & How to Apply Below
Stratos Wealth Partners is hiring an experienced Compliance Analyst to support the RIA Compliance Program and compliance initiatives. The role involves policy reviews, testing support, and collaboration with Compliance Directors to implement new rules and best practices.
Ideal candidates have FINRA SIE, Series 7/24/65/66 licenses and 3–5 years of investment advisory experience, with strong written and verbal communication and attention to detail.
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