11098 compliance analyst jobs found
Refine Search
Categories
Accounting
(2490)
Information Technology
(1857)
Finance
(1808)
Management
(1709)
Engineering
(1157)
Healthcare
(886)
Executive
(868)
Marketing
(806)
Insurance
(749)
Science
(568)
Legal
(501)
Human Resources
(426)
Manufacturing
(396)
Energy
(396)
Security Clearance
(390)
Nurse
(283)
Law Enforcement
(205)
Construction
(202)
Facilities
(196)
Salary Range
City
State
California
(1666)
Texas
(1055)
New York
(781)
Illinois
(548)
Florida
(534)
Virginia
(457)
Alaska
(398)
Ohio
(365)
North Carolina
(362)
New Jersey
(336)
Georgia
(330)
Maryland
(329)
Arizona
(326)
Massachusetts
(319)
Washington
(317)
Minnesota
(266)
Michigan
(244)
Colorado
(206)
District of Columbia
(204)
Missouri
(191)
PH
Ra
RC
DE
Job Description
Job Description
We are seeking a compliance analyst for our RIA and Broker Dealer. As a rapidly growing firm this individual will need to be able to operate in a dynamic environment. Responsibilities will include -
Running OFC and FinCEN data base checks.
Compiling reports for the CCO and compliance consultant team.
Monthly Calls with the CCO and consultant team.
Assisting will fee billing and commission data.
Will report directly to the CCO.
Advanced knowledge of excel
Hybrid work schedule
FINRA Series 26 preferred but not required
About Encompass More