About this role
Compliance Analyst at Davenport & Company. Location: Richmond, Virginia, United States. Role: assisting aml, conducting reviews, answering hotline Requirements: Knowledge of SEC/FINRA/MSRB rules; SIE, Series 7/66 (within 1 year) and Series 24 (within 2 years); proficiency with Microsoft Outlook/Word/Excel; strong written and verbal communication and analytical skills. Category: Legal and Compliance Seniority: Mid Level Tools: Microsoft Outlook, Microsoft Word, Microsoft Excel Certifications: sie, series 7, series 66, series 24 Commitment: Full Time Workplace: Onsite Languages: English