SIE and Series 99 Compliance Analyst

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

Understanding of financial market impacts and regulatory terminology

SIE certification required prior to start

Series 99 required or ability to obtain within 120 days

Minimum of High School Diploma or Equivalent required