Strategic Compliance Analyst – SEC & State Regulations

A leading staffing firm in the U.S. is looking for a Compliance Analyst to ensure compliance with SEC regulations for an RIA. The role involves conducting internal audits, preparing regulatory reports, and leading compliance training initiatives. Ideal candidates should possess over 5 years of experience in compliance within financial services, strong regulatory knowledge, and excellent communication skills. Preferred qualifications include a Bachelor's degree and Series 65 or 66.

Offering competitive benefits including medical insurance and a 401(k).
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