Compliance Analyst - Securities & Broker-Dealer

Colorado Financial Service Corporation in Centennial, CO, is seeking a Compliance Analyst for an on-site role. You will monitor and review broker-dealer activities to ensure adherence to SEC, FINRA, SIPC, and internal requirements, performing tasks such as email surveillance, transaction reviews, and monthly/annual reporting.

Your duties include supporting branch audits, archiving personal investment transactions, answering compliance questions, and participating in strategic initiatives and

Our group is growing, and we are hiring a Compliance Analyst
- Securities & Broker-Dealer in Centennial, CO, United States.

We appreciate your interest in this position.

Join Colorado Financial Services Corporation and contribute to our ongoing work.

Take a moment to read everything above and see whether this role is right for you.

This posting is for the Compliance Analyst
- Securities & Broker-Dealer role at Colorado Financial Services Corporation, based in Centennial, CO, United States.