Note: The job is a remote job and is open to candidates in USA. MOHR Talent is a financial services organization seeking a Compliance & Supervision Analyst to join their team. The role involves reviewing advisor activity, investigating compliance concerns, and supporting the supervision of communications and marketing materials.
Responsibilities
- Review advisor activity, transactions, and account-related exceptions
- Investigate and document compliance or regulatory concerns
- Support supervision of communications and marketing-related materials
- Assist with FINRA, SEC, and internal policy reviews
- Communicate with advisors and internal teams regarding findings and resolutions
- Maintain detailed documentation suitable for audits and regulatory reviews
Skills
- 3+ years of experience within Broker-Dealer, RIA, or financial services environments
- Background in compliance, surveillance, supervision, communications review, or trade review
- Strong analytical, investigative, and communication skills
- Ability to interpret regulations and apply sound judgment
- FINRA Series 7 required
- FINRA Series 24 required
- Series 63, 65, or 66 preferred
Benefits
- Bonus
- Full Benefits
Company Overview