Compliance Analyst - Broker Dealer

Whatyou willdo:

• Respond to inquiries from field and home office personnel tosupportcompliance with applicable laws, regulations, and Firm policies and procedures.
• Address emails and phone calls received through the Compliance Inbox and Compliance Hotline.
• Review and process client accommodations requested by field partners.
• Assist with Vulnerable Adultcasesandpotential exploitation cases in accordance with firm policy andFINRA Rules 2165 and 4512.
• Assistthe Information Security Teamby providing Compliance supportwithincidents for the firm.
• Respond toinquiresfrom the field on various compliance topics including trades after death, operations questions,andbeneficiaryquestions.
• Review office-sharingarrangementsto ensure alignment with regulatory and Firm requirements.
• Stay up to date with training and current vulnerable adult topicsto assist the firm and to train field offices when necessary. Identify and maintain risk areas for annual compliance training.
• Monitor and test Firm policies and procedures based on risk levels.
• PerformFINRA Rule
  3120 and ad hoc testing on Compliance and Firm functions.
• Deliver occasional training to field and home office personnel on compliance topics. Be open to cross training amongst all compliance areas to assist other groups when needed.
• Review ofDue Diligence meetings to ensure regulatory and firm requirements are met.
• Review Outside Business Activity escalations and provide guidance on next steps.
• Provide oversight of Outside Business Activities approved with conditions to help ensure adherence to those conditions.
• Review and analyze individuals seeking to affiliate with theFirm.
• Enter cases andsupportingdocumentation into
  
  Firm-approved tools.
• Stay informed onnew regulations, policies, technologies,products, andrelatedcompliance implications.
• Serve as a primary contact for Designated Principals, Registered Representatives, and internal partners such as Supervision, Resource Center, and Operations.
• Participate in project work as needed.

• 1–3 years ofbroker-dealer compliance experience.
• FINRASeries 7 and Series
  24registrationsrequired.
• Knowledge of applicable regulations and interpretive guidance.
• Understanding of industry best practices.
• Strong problem-resolution skills.
• Ability to conduct thorough analysis and apply practical, policy, and regulatory frameworks.
• Excellent written and verbal communication skills.
• Strong interpersonal and relationship-building skills.
• Ability to prepare accurate and thorough written documentation.
• Ability to manage multiple tasks proactively and meet deadlines.
• Ability to work independently and collaboratively in a team environment.
• Ability to manage workloads andsupportteamprioritiesas needed.
• High school diploma or equivalent required.

• FINRASeries 4 and/or Series
  53 preferred.
• Experience with Microsoft Office,including Excel, Word,and PowerPoint;
  
  Salesforce experience preferred.
• Bachelor’s degree preferred.

The base annual salary range for this role is $59,000 to $103,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location.

Base annual salary may also differ significantly due to geography and cost of labor considerations.

Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

• Inclusive health, dental, vision and life insurance plans built to support…