Securities - RIA Compliance Analyst (NOT IT/CYBER, MEDICAL, or BANKING Auditors/Analysts) jobs in United States
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My RIA Lawyer ยท 2 months ago

Securities - RIA Compliance Analyst (NOT IT/CYBER, MEDICAL, or BANKING Auditors/Analysts)

positionUnited States
timeFull-time
remoteRemote
seniorityEntry, Mid Level
money$60K/yr - $90K/yr

My RIA Lawyer is looking for compliance analysts to perform compliance testing for clients. The role involves various compliance reviews and requires strong attention to detail and critical thinking skills.

Law Practice

Responsibilities

Perform day-to-day compliance testing reviews for clients
Do everything from email review to advertising review
Billing review
Filing 13Fs
Reviewing client files

Qualification

Compliance testingBroker-dealer experienceRIA experienceCritical thinkingProfessionalismWillingness to learnTechnology understandingAttention to detailCommunication skills

Required

Experience performing compliance testing for broker-dealers and RIAs
Strong communication skills
Attention to detail
Great critical thinking skills
High standard of work product and professionalism
Willingness to learn
Understanding of technology to thrive in a remote environment
Hungry, humble, and smart attitude

Company

My RIA Lawyer

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You work hard to grow your business and create the life of your dreams. Now you need to protect it.
dateFounded in 2017
location
Alpharetta, Georgia, US
people-size2-10 employees
web-link
http://www.myrialawyer.com

Funding

Current Stage
Early Stage

Leadership Team

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Steven (Steve) Fisher
Consulting CFO
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