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    Regulatory Compliance Analyst - Charlotte, United States - SearchTower

    SearchTower
    SearchTower Charlotte, United States

    4 weeks ago

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    Description

    SearchTower is conducting a search for a Regulatory Compliance Analyst for one of the Industry's leading Independent Broker Dealers for successful and experienced, Financial Advisors. The Regulatory Analyst will support the Firms efforts to respond to regulatory requests, customer complaints, and external requests. As a member of the Compliance team, the successful candidate will work to support the Firm in meeting regulatory deadlines and serve as a point of contact for the regulatory department to assist with mitigating risk and achieving a high level of compliance with applicable laws, industry regulations, and company policy. The candidate will support the Regulatory Compliance team and help set the tone and culture of the team.

    Requirements:

    2+ years of Compliance Experience in Financial Services

    Series 7 is mandatory with the requirement of obtaining the Series 24 in 6 months.

    This is an on site position and relocation to the South West will be required (some relocation assistance is available).


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