This job ad has been posted over 40 days ago...
Compliance Analyst in Connecticut
at The Compliance Search Group in Connecticut
Successful asset management firm offering a broad array of investment products seeks a talented individual to join our Compliance team as a Compliance Analyst. The compliance program is responsible for providing a reasonable level of assurance that the firm is adhering to applicable rules, regulations, client mandates, policies, and procedures. The Compliance group has a dedicated staff of professionals that maintain the Compliance Program.
ROLE
The Compliance Analyst will assist in the review of company marketing material; facilitate responses to client compliance inquiries and maintain licensure and training information for internal employees. He or she will also support Anti-Money Laundering and OFAC monitoring and utilize relevant databases to extract information.
REQUIREMENTS
Candidate with a Bachelors Degree in Business Management or a related field and 1-3 years of experience with an Investment Advisor or related business will be preferred. Series 7 and series 24 licenses are a plus, but not required. Proficiency with the Microsoft Office Suite is expected.
This firm strives to maintain a culture where employees with talent and drive are offered an array of responsibilities that allow them to continue growing and learning as professionals. Individuals who are hard working, team oriented, and strong, clear communicators will thrive in the firm’s intellectually challenging, collaborative environment.
To apply please submit your resume to Jack Kelly - JKelly@compliancesearch.com
ROLE
The Compliance Analyst will assist in the review of company marketing material; facilitate responses to client compliance inquiries and maintain licensure and training information for internal employees. He or she will also support Anti-Money Laundering and OFAC monitoring and utilize relevant databases to extract information.
REQUIREMENTS
Candidate with a Bachelors Degree in Business Management or a related field and 1-3 years of experience with an Investment Advisor or related business will be preferred. Series 7 and series 24 licenses are a plus, but not required. Proficiency with the Microsoft Office Suite is expected.
This firm strives to maintain a culture where employees with talent and drive are offered an array of responsibilities that allow them to continue growing and learning as professionals. Individuals who are hard working, team oriented, and strong, clear communicators will thrive in the firm’s intellectually challenging, collaborative environment.
To apply please submit your resume to Jack Kelly - JKelly@compliancesearch.com
Published at 23-03-2010
Viewed: 26 times
Viewed: 26 times