Aspida is seeking skilled, self motivated and independent compliance professional for the role of Broker Dealer Compliance Analyst. This is an individual contributor position that will take the lead as a Subject Matter Expert (SME) during conversations with internal business partners regarding the compliance requirements related to the Broker Dealer. Reporting to the Chief Compliance Officer, this a hybrid role and required to be on-site 3 days a week at our headquarters in Durham, NC.

What We Require:
• Bachelor’s Degree in Business, Risk Management or Insurance; or equivalent combination of education, training & experience.
• 5 or more years of experience in a Compliance function in a broker dealer.
• Strong understanding of State regulatory requirements for fixed and variable annuity products, as well as SEC & FINRA requirements for registered products.
• Series 6 or 7 registration.
• Self-motivated with a strong attention to detail and a commitment to upholding the highest ethical standards.