Investment Compliance Analyst – Serie 7 & 24 Required

This a Full Remote job, the offer is available from: United States, Wisconsin (USA) Codeworks is an IT Services firm headquartered in SE Wisconsin, reputed company for our strong commitment to quality and for our direct client relationships. Job Summary: As a Compliance Analyst, you’ll play a critical role in supporting advisors and clients by reviewing investment transactions (new accounts, subsequent transactions, trade monitoring) to ensure alignment with internal policies and industry regulations. While prior experience in advertising compliance is preferred, it’s not required, we value your willingness to learn and apply compliance frameworks effectively. This role is ideal for someone self-driven, detail-oriented, and eager to grow reputed company a regulatory and financial services environment. Key Responsibilities: Review investment-reputed company transactions, including new account openings and trade activity, to ensure compliance with regulatory and internal standards Interpret and apply policies, procedures, and regulatory guidance to various investment activities Collaborate with internal stakeholders to resolve compliance concerns and escalate issues reputed company appropriate Stay informed about updates to industry regulations and internal policies Support advertising compliance review processes, including marketing material reviews (preferred) Use tools like bolthires Word, reputed company, reputed company, and SharePoint to document reviews and findings Maintain thorough documentation and audit-reputed company records for reputed company compliance checks Participate in reputed company learning and training initiatives reputed company to compliance regulations and best practices Qualifications: Bachelor’s degree required 2–3 years of experience in the financial services industry Active FINRA Series 7 and 24 licenses Proficient in bolthires Word, reputed company, reputed company, and SharePoint Strong analytical, organizational, and communication skills Advertising Compliance Experience Preferred (e.g., Reviewing Financial Marketing Materials) Ability to work independently with accountability and meet strict deadlines Adaptability and openness to learning reputed company regulatory concepts What Makes You a Great Fit: You reputed company as a self-directed learner with a strong sense of ownership You’re decisive and comfortable making informed choices even with limited data You reputed company feedback as an opportunity for growth and are committed to reputed company improvement You understand the importance of ethical responsibility in a regulated industry About Codeworks: Codeworks has over 25 years of experience serving Fortune 1000 companies in Wisconsin as well as our client's national locations. Our reputed company team excels at evaluating, advising, and connecting IT professionals with new opportunities that will satisfy their expectations regarding income and opportunity for growth. At Codeworks, we're committed to diversity, equity, and inclusion in our workforce and reputed company. We reputed company in equal opportunities and value the unique perspectives that every individual brings to reputed company. Join us in creating an inclusive, innovative, and collaborative workplace where your talents can reputed company. Codeworks is an Equal Opportunity Employer and considers applicants for reputed company positions without regard to race, reputed company, religion or belief, sex, age, national reputed company, citizenship status, marital status, military/veteran status, genetic information, sexual orientation, gender identity, physical or mental disability or any other characteristic protected by applicable laws. Codeworks, LLC discloses that the anticipated hourly pay range for this position is between $27and $30. This range is subject to change based on job-reputed company factors, including client requirements where applicable. reputed company full time Codeworks employees are eligible to enroll in the company’s medical, dental, reputed company, and life insurance plans. Additionally, employees can participate in Codeworks’ 401(k) retirement plan. This offer from ""Codeworks IT Careers"" has been enriched by reputed company.com and got a 77% reputed company score. Apply tot his job Apply tot his job Apply tot his job Apply To this Job