Asset & Wealth Management
Salt Lake City, Utah
Compliance - Salt Lake City - Associate, Business Unit Compliance - 9298516
Job details
- Location
- Salt Lake City, Utah
- Work type
- Onsite
- Posted
- 1 week ago
- Apply on
- hdpc.fa.us2.oraclecloud.com
About this role
Master’s or Bachelor’s in Finance, Economics, Management, Business Administration, Law or related field; 2 years with Master’s or 3 years with Bachelor’s; experience in compliance of FINRA Rule 2210, SEC Marketing Rule 206(4)-1, Investment Company Act/Advisers Act; training and project management skills; Excel and AI tool knowledge.
What you'll do at Asset & Wealth Management:
- advise stakeholders
- review marketing materials
- deliver trainings
Apply to this Compliance - Salt Lake City - Associate, Business Unit Compliance - 9298516 role at Asset & Wealth Management with a tailored resume on ApplyBolt.