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, known 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 within a regulatory and financial services environment. Key Responsibilities: Review investment-related 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 when appropriate Stay informed about updates to industry regulations and internal policies Support advertising compliance review processes, including marketing material reviews (preferred) Use tools like Microsoft Word, Excel, Adobe, and SharePoint to document reviews and findings Maintain thorough documentation and audit-ready records for all compliance checks Participate in continuous learning and training initiatives related 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 Microsoft Word, Excel, Adobe, 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 complex regulatory concepts What Makes You a Great Fit: You thrive as a self-directed learner with a strong sense of ownership You’re decisive and comfortable making informed choices even with limited data You embrace feedback as an opportunity for growth and are committed to continuous 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 recruiting 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 beyond. We believe in equal opportunities and value the unique perspectives that every individual brings to our team. Join us in creating an inclusive, innovative, and collaborative workplace where your talents can thrive. Codeworks is an Equal Opportunity Employer and considers applicants for all positions without regard to race, color, religion or belief, sex, age, national origin, 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-related factors, including client requirements where applicable. All full time Codeworks employees are eligible to enroll in the company’s medical, dental, vision, and life insurance plans. Additionally, employees can participate in Codeworks’ 401(k) retirement plan. This offer from ""Codeworks IT Careers"" has been enriched by Jobgether.com and got a 77% flex score. Apply tot his job Apply To this Job