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 REQUIRED
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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