Investment Compliance Analyst

Beachwoodhybridmid$50K – $135K

Posted today · via Recruitee

See if I'm a fit →Tailor my resume for this role →Apply on Recruitee ↗

About this role

We are hiring for our Compliance team at Stratos Wealth Partners where we provide a platform of Broker-Dealer and RIA services for our registered reps/advisors. We are looking for an experienced Compliance Analyst to support the Stratos RIA Compliance Program. We are a growing department that offers room to develop and advance skills. Essential Duties and Responsibilities: · Provide support to the overall Compliance Program · Work with Compliance and other team members to strengthen policies including WISP, privacy policy reviews, business continuity and acceptable use policies. · Work with Compliance Directors to support new compliance initiatives. · Provide support to the Compliance Testing Program to resolve identified issues and undertake remedial projects as requested.…

Read the full description on Stratos Wealth Partners's site →

What we'd score you on

reqspace match rubric

Five dimensions, recruiter-grade. Upload your resume and we'll generate a written explanation of where you fit and where the gaps are.

Skills match

We compare your skills against the role requirements.

Level fit

This role is mid-level. We check your trajectory against it.

Domain experience

Your work in the role's domain matters more than your years total. We weight recent and direct experience.

Recency

A skill you used last quarter weighs more than one from five years ago. We grade on recency, not lifetime.

Location fit

This role is based in Beachwood. We weight your proximity and willingness to relocate.

Score yourself on this role.

Free · no card · written explanation included

See if I'm a fit →

More at Stratos Wealth Partners

See all open jobs at Stratos Wealth Partners →