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  1. Compliance Analyst (Brokerage and Investment Advisory)

    Compliance Consultant (Brokerage and Investment Advisory)  $55,000 - $65000  St Louis, MO, USA Consultants should have or be willing to obtain NASD Series 7. Advanced degree (MBA) or certification (CPA, CIA, CFP, CFA) is preferred. This Compliance Consultant (CC) provides supports to the team lead in the planning and execution of a testing program over various areas within the brokerage and investment advisory to assure compliance with federal, state, agency, legal and regulatory requirements this ...