Compliance Analyst

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Responsibilities: Individual will be responsible for providing compliance support for the Legal and Compliance Department, including, but not limited to: reviewing advertisements, sales literature, client servicing materials, press releases, television interviews, public speeches, internet site(s), requests for proposal; and special projects as assigned. Qualifications: • A four-year degree in business or related field. • Proficiency in Excel, Microsoft Word, and Outlook. • Clear commitment to company's culture, values and approach. • Previous legal/compliance experience with a broker-dealer or investment adviser of 3-5 years is desired. • Team-oriented: ability to apply analytical and decision-making skills in a collaborative environment. • Service oriented: ability to balance regulatory and policy standards along with a business perspective. • Exceptional organizational skills: ability to effectively prioritize tasks, produce consistently accurate work and meet strict deadlines. • Highly flexible, multi-task oriented: capable of rapidly changing directions based on business demands. • Must take initiative in learning and applying new skills and regulations. • Superior written and oral communication skills; confidence interacting with all levels of management. • FINRA Series 7, 24 and 63, highly desirable or the ability to obtain within 3 months of employment. read more