Securities Compliance & Oversight Analyst

Jobtailor; Montpelier (VT); On-site; USD 70,000 - 110,000; Full time

Job summary

Jobtailor in Vermont is seeking a compliance professional to oversee broker-dealer and state-registered investment advisory firms, ensuring adherence to Vermont Uniform Securities Act and Vermont Securities Regulations. The role emphasizes in-depth analysis of books and records, trading practices, and fee structures to maintain regulatory compliance.

Ideal candidates will hold a bachelor’s degree (or higher) in a related field and have 2+ years in accounting, auditing, financial analysis, or

Qualifications

• Demonstrates expertise in compliance with the Vermont Uniform Securities Act and Vermont Securities Regulations, alongside strong analytical skills in financial analysis, auditing, and compliance oversight.

Responsibilities

• Examination and ongoing oversight of broker-dealer firms and state registered investment advisory firms
• Ensure compliance with the Vermont Uniform Securities Act and Vermont Securities Regulations
• Analyze the firm's books and records, trading practices, fee structure, and compliance policies
• Investigate Vermont investor complaints and processes state investment adviser registration applications
• Engage in educational outreach events on behalf of the Division

Education

Bachelor’s degree or higher in business administration, accounting, finance, economics, public administration, law, or an equally pertinent field

Associate’s degree or higher in business administration, accounting, finance, economics, public administration, law, or an equally pertinent field AND two (2) or more years of experience in accounting, auditing, financial analysis, or compliance in the financial services field or for a regulatory body that oversees financial services firms or equivalent experience

High school diploma or equivalent or higher AND four (4) years or more experience in accounting, auditing, financial analysis, or compliance in the financial services field or for a regulatory body that oversees financial services firms or equivalent experience

Job description

Jobtailor in Vermont is seeking a compliance professional to oversee broker-dealer and state-registered investment advisory firms, ensuring adherence to Vermont Uniform Securities Act and Vermont Securities Regulations. The role emphasizes in-depth analysis of books and records, trading practices, and fee structures to maintain regulatory compliance.

Ideal candidates will hold a bachelor’s degree (or higher) in a related field and have 2+ years in accounting, auditing, financial analysis, or