Investment Advisory Compliance & Risk Oversight Analyst
Listed on 2026-09-16
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Finance & Banking
Regulatory Compliance Specialist
Jobtailor in Arizona is seeking an Investment Advisory Compliance professional to support surveillance and risk assessments within our compliance program. The role focuses on monitoring controls, analyzing IA functions, and standardizing procedures to meet regulatory requirements.
The position requires FINRA familiarity, strong communication, and MS Office proficiency. You will draft procedures, guide advisors on policy, and perform surveillance tasks under supervision.
The Investment Advisory Compliance & Risk Oversight Analyst position in the Legal, Management & Operations field is open for applications.
All applications are reviewed carefully by our team.
The position is based in AZ, United States.
This opportunity is part of our work in Legal, Management & Operations.
The advertised compensation is 65.000 - 90.000.
We aim to respond to suitable candidates as soon as possible.
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