Compliance Associate

A full-service broker-dealer company based in Atlanta, GA is looking for Compliance Associates (2 individuals).

- Juris Doctorate graduate or any law-related degree

Experience:
- Two to three years of experience in the financial securities industry
- Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds
- Additional knowledge in variable annuities and mutual funds strongly preferred


Skills:
- Must be proficient with MS Excel and Word
- Ability to analyze large amounts of trade data and to think through complex Compliance issues
- Must be detail-oriented, investigative and have the ability to handle a high volume of work independently
- Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation
- Effective communication skills, both written and verbal

Please send a copy of your resume to Upgrade to see actual info