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.
...entry/access to the office buildings through the designated building management request and service ticket tools/software Develop a working knowledge of client work processes, workplace culture and policies essential for effective service delivery to users Participate...
...The Construction Project Manager oversees all phases of active construction projects from mobilization through closeout. This role is responsible... ..., architecture, or a related field (or equivalent experience). Manage all aspects of construction projects from start...
...Technical Writer Job Summary: Sparks Group is looking for a Technical Writer for a long-term contract. This position will require you to work onsite in Washington, DC 4+ days a week. Were looking for someone to perform writing and editing duties including reviewing...
...SolomonEdwards is looking for a Call Center Representative for one of its mortgage clients to operate in a call center environment supporting... ...you are converted to a permanent employee: The chance to work for an Established Nationwide Industry Leader and Dedicated...
...Baking a Better Future Champion Foods, a pizza trailblazer, is expanding, and we're looking for dynamic talents to enhance our innovative... ...(2) years experience in research and development in a food manufacturing environment. Knowledge of raw materials, production...