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Primary Job Duties

The Compliance Analyst is primarily responsible for assisting the chief compliance officer with a variety of duties including but not limited to:

Maintain and Update CRD system with compliance rules
Manage the restricted stock list
Compile data and compose compliance reports
Review client portfolios to assure investments are within guidelines
Scan documents into system
Assist with other duties and projects as needed

QUALIFICATIONS

• Bachelor’s Degree
• 1 to 2 years financial services experience in an operational or compliance role
• Strong detail and communication skills with an enthusiastic attitude

Firm offers exceptional benefits with a salary range of 45k to 55k annually + bonus potential


First Associates specializes in financial recruiting - matching the highly skilled professional with industry leading corporations
Please contact Sue Whitledge swhitledge@firstassoc.com

• Location: Downtown
• Compensation: Firm offers exceptional benefits with a salary range of 45k to 55k annually + bonus potential
• Principals only. Recruiters, please don't contact this job poster.
• Please, no phone calls about this job!
• Please do not contact job poster about other services, products or commercial interests.