Compliance Analyst
Core
Support the firm's limited purpose broker-dealer compliance program, including policy maintenance, registration support, and regulatory testing.
Role type
Compliance Analyst (Broker-Dealer)
Builds
Compliance policies and procedures for sales and marketing activities
Domain
Financial Services / Broker-Dealer Compliance
Required skills
Broker-dealer compliance experience, FINRA rules knowledge, Regulatory training support, Data analysis tools, Policy maintenance, Registration process support
Preferred skills
FINRA designations (SIE, Series 7, Series 24), Investment Advisers Act familiarity, Regulatory inquiry response
Technologies
Data analysis tools
Responsibilities
Maintain policies and procedures for broker-dealer and sales/marketing activities; Support registration process for broker-dealer registered reps; Assist with compliance testing for marketing procedures; Assist in responding to regulatory inquiries or examinations; Provide regulatory training to client-facing personnel
Seniority
Mid-level, hands-on IC