Senior Compliance Associate
Company: VirtualVocations
Location: Tacoma
Posted on: November 6, 2024
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Job Description:
A company is looking for a Senior Compliance Associate to manage
its investment advisory compliance program.
Key Responsibilities
Assist in the preparation of regulatory filings and compliance
documentation
Develop and implement policies and procedures in response to
regulatory changes
Conduct compliance training and review marketing materials for
regulatory compliance
Required Qualifications
7+ years of experience in investment advisory or related compliance
roles
Knowledge of the Investment Advisers Act of 1940 and related
regulations
Bachelor's degree or higher educational attainment
Authorization to work in the United States
Keywords: VirtualVocations, Redmond , Senior Compliance Associate, Other , Tacoma, Washington
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