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Wealth Compliance Analyst: Suitability & Approvals
Job in
Scottsdale, Maricopa County, Arizona, 85261, USA
Listed on 2026-08-08
Listing for:
TRC Talent Solutions
Full Time
position Listed on 2026-08-08
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
TRC Talent Solutions partners with a leading wealth management firm to hire a Compliance Analyst responsible for suitability reviews of VA, RILA, FIA purchases and replacements. Under supervision, you will research transactions, document findings, and issue written recommendations to approve or reject, ensuring compliance with firm policies and regulations.
Candidates should have 1–2 years of related experience, FINRA licenses (Series 7/63/24 or equivalents), and strong communication to support
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