Series 7 Licensed Senior Compliance Analyst
Company: VirtualVocations
Location: Vista
Posted on: May 10, 2025
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Job Description:
A company is looking for a Licensed (Series 7) Senior Compliance
Analyst - Investment Advisory.
Key Responsibilities
Provide guidance on advisory compliance and fulfill 206(4)-7
testing for the investment advisor
Support the management of the Conflicts of Interest program and
assist with regulatory inquiries
Conduct analysis of compliance issues and recommend new policies
and procedures
Required Qualifications
Bachelor's Degree or equivalent experience
Five years of relevant experience in broker-dealer/investment
advisory compliance
Required FINRA registration (Series 7); preferred Series 63/65 or
Series 66
Strong knowledge of annuity products, securities, and investment
advisory products
Ability to make independent assessments and provide leadership in
compliance framework evolution
Keywords: VirtualVocations, Cerritos , Series 7 Licensed Senior Compliance Analyst, Professions , Vista, California
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