Investment Advisory Compliance & Risk Oversight Analyst
Job in
Yuma, Yuma County, Arizona, 85365, USA
Listed on 2026-08-26
Listing for:
Jobtailor
Full Time
position Listed on 2026-08-26
Job specializations:
-
Finance & Banking
Financial Compliance, Regulatory Compliance Specialist
Job Description & How to Apply Below
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.
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