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Securities Compliance & Oversight Analyst
Job in
Montpelier, Washington County, Vermont, 05604, USA
Listed on 2026-07-31
Listing for:
Jobtailor
Full Time
position Listed on 2026-07-31
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Jobtailor in Vermont is seeking a compliance professional to oversee broker-dealer and state-registered investment advisory firms, ensuring adherence to Vermont Uniform Securities Act and Vermont Securities Regulations. The role emphasizes in-depth analysis of books and records, trading practices, and fee structures to maintain regulatory compliance.
Ideal candidates will hold a bachelor’s degree (or higher) in a related field and have 2+ years in accounting, auditing, financial analysis, or
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