Broker/ Dealer Analyst: 24-02002 - Akraya Inc.
Los Angeles, CA 90071
About the Job
Primary Skills: Regulatory, Compliance, Risk, Broker/Dealer, Investor
Contract Type: W2 Only
Duration: 5+ Months Contract
Location: Los Angeles, CA / New York, NY / #LI-Remote
Pay Range: $24.00 - $26.00 per hour
#LP
Grow your skills by working with industry leaders
JOB RESPONSIBILITIES:
- Analyze marketing materials to ensure compliance with regulatory standards, including SEC, FINRA, and MSRB.
- Act as a point of contact for internal inquiries regarding business communications and compliance programs.
- Monitor and review the effectiveness of existing Compliance programs and suggest improvements.
- Lead internal investigations resulting from email review escalations.
- Assist with preparing for regulatory exams and audits, including producing responses to regulatory inquiries.
JOB REQUIREMENTS:
- Investor, dealer or brokerage experience.
- Banking or Financial experience needed.
- Familiarity with SEC, FINRA, and MSRB regulations.
Akraya is an award-winning IT staffing firm consistently recognized for our commitment to excellence and a thriving work environment. Most recently, we were recognized Inc's Best Workplaces 2024 and Silicon Valley's Best Places to Work by the San Francisco Business Journal (2024) and Glassdoor's Best Places to Work (2023 & 2022)!
Industry Leaders in IT Staffing
As staffing solutions providers for Fortune 100 companies, Akraya's industry recognitions solidify our leadership position in the IT staffing space. We don't just connect you with great jobs, we connect you with a workplace that inspires!
Join Akraya Today!
Let us lead you to your dream career and experience the Akraya difference. Browse our open positions and join our team!
Source : Akraya Inc.