Advisor Group

  • Indianapolis, IN, USA
Advisor Group Remote * (Charlotte, NC, USA)
Oct 09, 2021
IA Compliance Surveillance & Testing Opportunity in Financial Services Sr. Data Analyst, Investment Advisory Location: Considering candidates in all locations & remote Summary: The Sr. Data Analyst works within the Investment Advisory compliance department supporting the IA Compliance Officer. The Sr. Data Analyst role requires a data-minded individual who has experience in writing complex reports and is familiar with the financial services industry, especially as it relates to Investment Advisory compliance regulations. Responsibilities: Forensic Testing - Develop ad hoc reports to support forensic testing efforts as part of the annual review required by SEC rule 206(4)-7. Forensic testing will be used to test for previously unidentified issues by: Gaining additional insight from data, other information or evidence evaluated in new ways from current information sources, and in additional ways from new information sources Determining whether...
Advisor Group Remote * (Seattle, WA, USA)
Oct 03, 2021
Regulatory Compliance & Analytics Opportunity in Financial Services Sr. Data Analyst, Regulatory Affairs Location: Considering candidates in all locations & remote Summary: The Sr. Data Analyst on the Regulatory Relations team is primarily responsible for producing data and reports in support of the Regulatory Relations team, including the collection, combination, analysis and reporting on complex data from a variety of data sources. The data and reports support the greater Regulatory Relations team in supplying information in response to regulatory inquiries. Reports and data must be accurate and provided timely, as deadlines are often set by the regulatory agencies. This role requires a data-minded individual who has experience in writing complex reports and is familiar with the financial services industry, especially as it relates to applicable regulations within the industry. This role reports to the Vice President of Regulatory Relations....