Compliance Analyst

We are hiring for a Compliance Analyst to support the Stratos RIA Compliance Program, providing leading support to the Compliance Branch Exam Program and assessing activities for existing and emerging risks.

Requirements

• Bachelor’s degree
• FINRA SIE, Series 7, 24 and 65/66
• 2-3 years’ experience with an investment advisory firm
• Attention to Detail / Data Organization
• Proficient with technology
• Effective communication skills, written and verbal
• Ability to work in a fast-paced, changing environment
• Collaborative mentality; strong team orientation