Senior Compliance Analyst; Broker-Dealer

Position: Senior Compliance Analyst (Broker-Dealer)

• Location:
  
  New York, NY
• Type:
  Perm (Contingency)
• Job #47702
• Salary: $95,000

Job Overview - Senior Compliance Analyst (Broker-Dealer)
Compensation: $95,000 - $125,000/year + bonus

Location:

New York, NY

Schedule:

Monday to Friday (Hybrid)

Atlantic Group is hiring a Senior Compliance Analyst (Broker-Dealer) in New York, NY for our client, supporting broker-dealer registration, licensing, and onboarding compliance across FINRA, SEC, and state regulatory requirements. This hybrid role oversees new hire registrations, FINRA Gateway filings, and regulatory recordkeeping while partnering closely with compliance, supervision, and business teams to ensure accurate reporting, regulatory adherence, and timely execution in a fast-paced financial services environment.

Responsibilities as the Senior Compliance Analyst:

• Registration & Regulatory Filings: Manage and process FINRA Gateway filings including Forms U4, U5, BD,  , and applicable NFA filings, ensuring accuracy and timely submission.
• Onboarding & Registration Oversight: Oversee pre-hire and onboarding compliance processes, including background checks, fingerprinting, required disclosures, and Code of Ethics affirmations.
• Registration Records Management: Maintain accurate registration and licensing records in internal systems in compliance with regulatory recordkeeping requirements.
• Regulatory Reporting & Inquiries: Prepare reporting for management and compliance teams and research and respond to regulatory inquiries related to disclosures and disciplinary matters.
• Licensing, Surveillance & Audit Support: Coordinate licensing and exam requirements, support compliance surveillance activities, and assist with audits and regulatory examinations.

Qualifications for the Senior Compliance Analyst:

• Education: Bachelor's degree in Finance, Business, Accounting, or a related field required.
• Experience: 3-5 years of broker-dealer compliance experience with a focus on registration, licensing, or onboarding.
• Industry Knowledge: Strong understanding of FINRA, SEC, and state registration requirements, including CRD, IARD, and NFA platforms, with familiarity with continuing education and licensing obligations.
• Systems & Tools: Proficiency in FINRA Gateway, CRD, IARD, and NFA ORS, with strong working knowledge of Workday, Excel, and Microsoft Office.
• Skills & Attributes: Highly organized, detail-oriented professional with strong communication skills, the ability to manage multiple deadlines, and adaptability to changing regulatory requirements.

Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.

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