Compliance Analyst at Catalyst Financial Group LLC Houston · Houston, TX · Joined
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Compliance Analyst
Catalyst Financial Group LLC Houston · Houston, TX · Just now · 0 applicants
NewOn-siteFull-timeMiddle
Pay
Pay not listed
Workplace
On-site
Job type
Full-time
Level
Middle
Team: Compliance · Source: jobright · Posted by joined-scrapper
About the role
Catalyst Wealth Management LLC is seeking a Compliance Analyst to support its SEC-registered investment adviser's compliance program, including policy administration, regulatory monitoring, and advising leadership on compliance risks.
What you’ll do
Administer and test compliance policies
Support regulatory reviews
Monitor regulatory obligations
Advise leadership on compliance risks
What you’ll need
Series 65, or Series 66 with Series 7
Bachelor's degree
Working knowledge of the Investment Advisers Act of 1940 and its rules
Strong judgment, discretion, and confidence to give leadership candid advice
Clear writing and ability to explain regulatory requirements in plain language
Experience running or substantially supporting an RIA compliance program
Original job description
Catalyst Wealth Management LLC is hiring a Compliance Analyst to support the compliance program of its SEC-registered investment adviser. The role assists with administering and testing compliance policies, supporting regulatory reviews, monitoring regulatory obligations, and advising leadership on compliance risks.Series 65, or Series 66 with Series 7…