JerseyCityRecruiter
the smart solution for Jersey City jobs

Senior Compliance Analyst, Investment Advisory

Company: Advisor Group
Location: Jersey City
Posted on: January 15, 2019

Job Description:

Be a part of the team behind our success! At Advisor Group, we support more than 5,000 financial advisors, the people who help everyday Americans achieve their dreams. Were a billion-dollar business with the mentality and drive of a startup. Join us in building something special. Investment Advisory Opportunity in Financial Services Sr. Compliance Analyst Location: 10 Exchange Place, Suite 1410 Jersey City, NJ 07302 Summary: The Sr. Compliance Analyst will assist the Deputy Chief Compliance Officer in the development, implementation, monitoring and testing of the companys compliance program to ensure that the rules, policies and regulations are followed properly. This position is involved on a day to day basis in in interpreting and applying compliance policies and procedures to business practices. Keys: investment advisory, compliance, IA, RIA Responsibilities:

  • Support the existing IA surveillance program
  • Conduct risks assessments and testing of IA compliance programs
  • Perform Monitoring & Surveillance over business processes and controls
  • Analyze current IA Compliance functions and suggest enhancements and standardization, where appropriate.
  • Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements
  • Review, draft and implement compliance procedures
  • Support advisors by providing guidance on RIA policy and procedures questions
  • Execute desktop procedures for RIA surveillance and other IAR related activities
  • All other duties as assigned Education Requirements:
    • Bachelors degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required. Basic Requirements:
      • At least five years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution.
      • Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933
      • Prior experience with Rule 206(4)7 testing
      • Excellent verbal and written communication skills
      • Proficiency with Windows programs: Excel, Outlook, Word
      • Strong abilities in analytical thinking, problem solving, research, and time management Preferred Requirements:
        • FINRA Registrations: S7, S66 (or 63 and 65) a plus

          Keywords: Advisor Group, Jersey City , Senior Compliance Analyst, Investment Advisory, Professions , Jersey City, New Jersey

          Click here to apply!

          Didn't find what you're looking for? Search again!

          I'm looking for
          in category
          within


Other Professions Jobs


Benefit consultant (work at home)
Description: Nation's largest provider of discount healthcare programs is looking for Benefit Consultants. We have been
Company: ameri plan
Location: West Babylon
Posted on: 01/21/2019

Regional and OTR Class A Drivers $60k to $70k/year
Description: Regional and OTR Class A CDL Truck Driver - Dedicated Customer Base br br Regional and OTR Class A Drivers 60k to 75k/year br br NEW ANNUAL PAY INCREASE - Earn an Average of 3,000 - 7,500 (more...)
Company: LCL Bulk Transport
Location: West Babylon
Posted on: 01/21/2019

CDL A Owner Operator Flatbed Drivers
Description: 100 Owner Operator, 100 Flatbed. 80 paid to you It doesn't get much better than that. Our contractors are currently averaging approximately 5,500 - 6,500 a week in gross revenue, or 260,000 to (more...)
Company: Carrier One
Location: White Plains
Posted on: 01/21/2019


Owner Operator Drivers - More Home Time - White Plains
Description: BECOME AN OWNER OPERATOR FOR LANDSTAR Owner Operator Job Benefits 100 non-forced dispatch 100 fuel surcharges
Company: Landstar
Location: White Plains
Posted on: 01/21/2019

CDL-A Refrigerated Truck Driver, Temperature Control Division - $5,000 Sign On - New Brunswick
Description: Live The Maverick Life br br At Maverick, we know that experienced CDL-A holders are a hot commodity That's why
Company: Maverick Transportation, LLC
Location: New Brunswick
Posted on: 01/21/2019

Uber Driver Partner
Description: Drive with Uber and earn money anytime it works for you. Driving is an easy way to earn extra, and it's totally flexible around your schedule. You decide when and how much you drive.What you need to know: (more...)
Company: Uber
Location: Levittown
Posted on: 01/21/2019

CDL-A Owner Operator Truck Driver
Description: Renewed. Recommitted. Ready.At USA Truck, Owner Operator CDL-A truck drivers can count on outstanding support, plenty of freight, and reliable pay. Why is USA Truck the best partner for you Because we (more...)
Company: USA Truck
Location: White Plains
Posted on: 01/21/2019

CDL-A Company Solo and Team OTR Drivers - New Late Model Equipment!
Description: CDL-A Company Solo and Team OTR Drivers - New Late Model Equipment If you're looking for a company with a competitive pay package, monthly bonus, paid holidays and much more, consider
Company: Guaranteed Transport Service
Location: Levittown
Posted on: 01/21/2019

OTR Class A CDL Truck Drivers
Description: Isn't it about time your safe driving record paid off br br If you've been accident free for the last 3 years, Total Transportation will start you at 45-- per mile br br SOLO DRIVERS: br (more...)
Company: Total Transportation of Mississippi, LLC
Location: Levittown
Posted on: 01/21/2019

Company Truck Driver- Big Rock
Description: br br Roadrunner Offers: ul li NEW PAY INCREASE - Company Drivers at Big Rock make .50/Mile li Earn Up to 1,200 Per Week
Company: Roadrunner Transportation Systems
Location: White Plains
Posted on: 01/21/2019

Log In or Create An Account

Get the latest New Jersey jobs by following @recnetNJ on Twitter!

Jersey City RSS job feeds