The Compliance Analyst will play a critical role in ensuring that the Registered Investment Advisor (RIA) firm operates in full compliance with regulatory requirements across its multi-state locations in the U.S. This position involves monitoring, analyzing, and enforcing compliance policies and procedures, providing expertise to maintain the firm’s adherence to SEC, state regulations, and industry best practices.
Key Responsibilities
Qualifications & Requirements
This is a high-impact role for a compliance professional ready to bring structure, insight, and leadership to a growing firm.
About Pinnacle
The Pinnacle Groups work hard to pair top talent with great companies. We truly care about your success and your future, which is why we take the time to truly get to know both the employer and employee to make sure it’s a good match. We’re not just filling a seat, we’re building futures. Our service separates us from other staffing firms and has landed us on the Inc. 5000 fastest growing companies list. We currently build futures in Kansas City, Topeka, Wichita, Des Moines, Denver, Omaha, Dallas-Fort Worth, Phoenix, Tucson, Orlando, Jackson, MS and Las Vegas markets.
EOE: Pinnacle provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.
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