Investment Advisor Compliance Analyst
Company: VirtualVocations
Location: New Orleans
Posted on: March 26, 2025
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Job Description:
A company is looking for an Investment Advisory Compliance
Analyst to assist with the administration of its Investment Adviser
Compliance Program.
Key Responsibilities
Perform risk assessments and control testing as part of the annual
compliance review
Assist with regulatory filings and the preparation of reports for
senior management
Support the development and administration of investment adviser
policies and procedures manuals
Required Qualifications
Bachelor's degree in business management, Finance, Economics, or a
related field
1-4 years of investment advisory compliance-related work experience
preferred
Ability to obtain Series 7, 63, and 65 or 66 within six months of
employment
Experience with business ethics and understanding of securities
laws and regulations
Project management experience and ability to track and execute
project tasks
Keywords: VirtualVocations, New Orleans , Investment Advisor Compliance Analyst, Professions , New Orleans, Louisiana
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