Compliance Analyst

Compliance Analyst | Financial Services

We’re partnering with a financial services firm seeking an experienced compliance professional to support its regulatory obligations and ongoing compliance activities.

• Key Responsibilities
• Provide guidance on applicable securities regulations and evolving requirements.
• Support compliance monitoring, testing, and the review of policies and supervisory procedures.
• Coordinate responses to regulatory reviews, examinations, and requests.
• Work with internal teams to strengthen controls across business operations and trading activities.
• Assist senior compliance leadership with day-to-day matters and broader initiatives.

Qualifications

• Substantial compliance or advisory experience supporting a FINRA-registered broker-dealer.
• Experience handling regulatory examinations and interacting with regulators preferred.
• Familiarity with trading operations, technology, and controls preferred.
• Knowledge of multiple asset classes desirable.
• Series 24 required. Additional registrations and a J.D. are a plus.
• Must be authorized to work in the United States.

For further details, please apply or contact us for a confidential discussion.