Compliance Analyst
Company: VirtualVocations
Location: Fresno
Posted on: February 12, 2025
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Job Description:
A company is looking for a Compliance Analyst Investments to
perform investment compliance surveillance, testing, and
reporting.
Key Responsibilities:
Maintain and monitor the firm's investments surveillance and
testing program
Perform ongoing surveillance and analysis of trading activity to
detect potential compliance violations
Prepare reports on the status and effectiveness of the compliance
program for leadership and stakeholders
Required Qualifications, Training, and Education:
Undergraduate degree in business, finance, economics, accounting,
or a related field
5 or more years of experience in financial services, particularly
in Investments, Trading, Operations, or Compliance
Strong understanding of various security types and fiduciary
governance principles
Ability to interpret the impact of new laws on investment
strategies
Experience with investment data analysis and compliance software
systems preferred
Keywords: VirtualVocations, Fresno , Compliance Analyst, Professions , Fresno, California
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