What are the responsibilities and job description for the Compliance Analyst position at Fanning Personnel?
COMPLIANCE ANALYST
An Investment Management firm is seeking a Compliance Analyst to help ensure the regulatory compliance for the firm.
The Associate will work on a close knit team to ensure all compliance requirements and activities at met.
Role Responsibilities;
- Conduct on-site/Remote branch reviews, daily trade blotter review and approval, review, investigate all daily trade summary.
- Review and approve advertising and sales literature
- Investigate potential violations of industry and firm policies.
- Monitor firm and regulatory element continue education training.
- Keep abreast of changes in regulatory rule and guidelines
- 3 years within compliance, risk, with a broker-dealer or Investment advisor
- Series 7, 24 and 66 or 63 a plus
This person should possess the ambition to develop and implement strategies, and improve processes and procedures as well as have the desire to keep abreast of regulatory changes.
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