Alderson Loop is looking for a Compliance Analyst that will provide proactive consulting and compliance support to associates, internal stakeholders and strategic clients with respect to the development, production, and delivery execution of duties that support distribution objectives. This position serves as a central point of contact for assigned compliance oversight functions to ensure adherence to external regulations and internal policies and procedures as well as process consistency and controls. This may include (all, some or one) those governed by SEC, DOL, IRS, and FINRA.
Knowledge of the Financial Services Industry
Prior experience in a compliance role, Excel (advanced)
Knowledge of SEC and FINRA rules
Project Management skills
Vendor Compliance Systems (ex: Star)
Contract and Compliance Review
Please send resume to email@example.com (Subject line: Compliance Analyst)