Compliance Analyst - MESA, AZ

Only for registered members MESA, AZ, United States

1 week ago

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Job summary

A dynamic and rapidly growing Registered Investment Advisor (RIA) firm is seeking a Compliance Analyst to help lead and strengthen its compliance program across multi-state operations.
The ideal candidate is a seasoned compliance professional who can not only interpret and apply regulations but also build out scalable processes that evolve with the firm's growth.

Qualifications & Requirements

  • 5+ years of compliance experience within an RIA or comparable financial services firm.
  • Deep knowledge of SEC and state-level regulatory frameworks, with hands-on experience managing Form ADV and related filings.

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