Compliance analyst Jobs in Plano, TX

A company is looking for a Compliance Analyst to perform registration and licensing duties, as well as compliance testing and reporting. Key Responsibilities Maintain registered persons filings and required disclosure documents for Registered Investment Advisors Monitor compliance program efficiency and recommend enhancements for onboarding and departing registered associates Conduct ongoing monitoring and analysis of investment adviser representatives to detect potential compliance violations Required Qualifications, Training, and Education Undergraduate degree in business, finance, economics, accounting, or a related field 2+ years of experience in financial services, preferably in investment advisor compliance or operations Understanding of regulatory requirements for Registered Investment Advisors and their representatives Strong computer skills with proficiency in Microsoft Office Suite; experience with FINRA regulatory filing system preferred Ability to handle confidential information discreetly and adapt to a rapidly changing environment