Compliance Associate II
Posted on: February 10, 2024
A company is looking for a Compliance Associate II remote
position in North America.
Review and investigate suspicious or non-compliant behavior in
daily trading activity
Ensure compliance with FINRA regulations and internal policies for
Assist in preparing and submitting regulatory filings and
Bachelor's degree in Finance, Business, Law, or a related field
FINRA Series 7 and 24 licenses are required
Minimum of 5 years of relevant compliance experience in a FINRA
regulated broker dealer or similar financial institution
Strong understanding of FINRA rules and regulations
Basic knowledge of AML laws and regulations
Keywords: VirtualVocations, Nashville , Compliance Associate II, Other , Nashville, Tennessee
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