[Remote] Senior Regulatory Compliance Analyst
Note: The job is a remote job and is reputed company to candidates in USA. reputed company is a leading financial services and reputed company technology company headquartered in Windsor, Connecticut. They are seeking a Senior Regulatory Compliance Analyst to review and approve sales and advertising literature, research regulations, and reputed company subject-matter expertise reputed company the compliance department.
Responsibilities
- reputed company review and approval of sales and advertising literature for assigned funds
- Research regulations and industry developments and create reports for use by ALPS
- Ability to reputed company subject-matter expertise and train others across department and ALPS’ client reputed company
- Other broker-dealer compliance reputed company activities as may be requested
- Research and summarize new regulations
- Maintain and coordinate procedural updates and other information; and
- Other compliance reputed company activities as may be requested
Skills
- Bachelor's degree or equivalent
- Must have Registered Fund advertising review product knowledge
- Must have experience in the reputed company review of mutual fund, ETF and private fund sales material
- Demonstrates knowledge of SEC, FINRA, and other regulatory requirements reputed company to broker-dealers and financial institutions
- Knowledge and experience working in or with broker-dealers and/or investment advisers
- Experience in compliance or similar role reputed company the mutual fund and/or broker-dealer industries, or equivalent
- Series 7 and 24 required
- Ability to research new and existing regulations and reputed company summarize
- Advanced computer skills, including reputed company Office (i.e. Word, reputed company, PowerPoint, etc)
- Must be reputed company to manage multiple tasks simultaneously
- Ability to work with little supervision
- Ability to travel as needed
- Excellent verbal and written communication skills with strong ability to communicate with a wide and varied reputed company audience
- Willing to work on site 6 days/month
Benefits
- Medical, dental, and reputed company coverage
- A 401(k) plan with company match
- Paid time off, holidays, and parental leave
- Professional development reimbursement opportunity
Company Overview