Investment Compliance Specialist; SEC & RIA)
-
Finance & Banking
Job Description & How to Apply Below
Blacklock Group is seeking a Compliance Officer in Arizona to join its investment management team, reporting to the Chief Compliance Officer. You will ensure marketing materials comply with SEC rules and help manage regulatory risk.
The role requires a Bachelor's degree and 2–3 years in financial services compliance, with strong Excel and MS Office skills. You will prepare DDQs/RFPs, run routine monitoring, and help maintain policies and the compliance manual.
Our organisation is growing, and we are hiring a Investment Compliance Specialist (SEC & RIA) in AZ, United States.
We are currently recruiting a Investment Compliance Specialist (SEC & RIA) for our team in AZ, United States.
This is a great role to take on the Investment Compliance Specialist (SEC & RIA) role at Blacklock Group.
As a Investment Compliance Specialist (SEC & RIA), you will play an important part at Blacklock Group in AZ, United States.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
View / Apply for Jobs
Matching My Jurisdiction