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Regulatory Compliance Analyst (SIE, Series 99)

Regulatory Compliance Analyst (SIE, Series 99)

VirtualVocationsProvo, Utah, United States
3 days ago
Job type
  • Full-time
Job description

A company is looking for a Regulatory Compliance Analyst.

Key Responsibilities

Produce, validate, and submit non-financial regulatory reports

Collaborate with various business units to ensure compliance with regulations

Assist in interpreting new regulations and updating compliance processes

Required Qualifications

Knowledge of non-financial regulatory reporting requirements

Experience in trading or compliance roles

Licenses : SIE and Series 99 (or ability to obtain within 120 days)

Minimum of High School Diploma or equivalent

Proficiency in Microsoft Office applications

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Regulatory Compliance Analyst • Provo, Utah, United States

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