Overview: Alera Group is looking for a Compliance Analyst. We are seeking highly motivated colleagues who bring...: Administer Alera’s Code of Ethics process in compliance with the Investment Advisers Act rule 204A-1 while ensuring consistency...
Job Description: LPL Financial is seeking a Regulatory Analyst for the Firm’s Regulatory team within the Legal..., and enforcement actions from federal and state securities regulators, FINRA, and other SROs. The Analyst position involves...
of corporate tax experience, in either public accounting or industry  Desired: Strong knowledge of tax code, compliance... tasks of other tax team members; Knowledge of Tax Research Software, including, Bloomberg (BNA); CCH and RIA. Advanced...
of corporate tax experience, in either public accounting or industry Desired: Strong knowledge of tax code, compliance... tasks of other tax team members; Knowledge of Tax Research Software, including, Bloomberg (BNA); CCH and RIA. Advanced...
22,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide. We are steadfast... and resolution discussions with a sense of urgency, communicate client and participant impact to Legal, Risk, Compliance...