Compliance Analyst

Remote, South Carolina

2021-03-04

Onboarding Analyst – Consulting – Remote

This notable financial services company is looking for someone to act as the liaison between Supervisory Principals and prospective advisors, ensuring compliance in every step of the process. The ideal professional will have a strong background in securities along with an eagerness to learn, grow, and lead. A strong finance background and leadership will give you the edge you need to succeed in this unique role.

What you’ll do:

  • Conduct due diligence review on high risk registered representatives and Non-Licensed Associates

  • Collaborate with advisors, business partners, and senior management to provide best practices for compliance 

  • Review requests for Outside Business Activities and Private Securities Transactions submitted by advisors

Who you are:

  • Bachelor’s degree in Accounting, Finance or related field

  • 5+ years of securities industry experience, directly in financial services experience 

  • Series 7 and 24 required 

What to do now:

Please send your resume to Anne Oyales at aoyales@provenrecruiting.com – we'd love to hear from you! 

 

We actively support and promote people of various backgrounds, from race, religion and gender to geographical area, university, lifestyle and personality type. Proven Recruiting is minority-owned, majority women, and is a strong advocate for diversity and inclusion in the broader community. Do not hesitate to apply now!

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