Compliance Analyst

We are partnered with a market-leading financial services company that has completed dozens of acquisitions in recent years and continues to execute a highly active growth strategy who is searching for a Compliance Analyst to join their team.

The role is focused on advisor licensing and registration within a complex and growing advisory platform. Due to continued expansion, the organization is looking to strengthen a function that currently supports a large population of financial advisors and plays a critical role in onboarding, registration, and licensing activities.

The ideal candidate will have experience with advisor licensing, registrations, and related compliance operations within an RIA, broker-dealer, or broader financial services environment.

This position can sit anywhere in the U.S., with the team focused more on responsiveness, judgment, and ownership than geographic proximity to headquarters.

If interested, please apply!

The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.

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