Securities – Ria Compliance Analyst (Not It/Cyber, Medical, Or Banking Auditors/Analysts)

Responsibilities

We are looking for analysts/officers to perform day-to-day compliance testing reviews for clients. The compliance analyst will do everything from email review to advertising review, billing review, filing 13Fs, reviewing client files, and more.

Qualifications

The ideal candidate will have experience performing compliance testing for broker-dealers and RIAs. The ideal candidate loves talking to people, has an eye for detail, great critical thinking skills, and holds themselves to a high standard of work product.