Compliance Analyst - Broker Dealer

• Compliance Analyst, Broker Dealer Compliance
• The Broker Dealer (BD) Compliance team is responsible for making sure that the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal partners and field on the policies and procedures of the BD, as well as the rules and regulations of our highly regulated industry. We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner. And, when necessary, educate on the reasoning and risks when the desired answer is not possible.
• This is a hybrid role, candidates must be located near an office hub: Dallas, TX.

What you will do:

• Respond to inquiries from field and home office personnel to support compliance 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 Audit cases and potential exploitation cases in accordance with firm policy and FINRA Rules 2165 and 4512.
• Assist the Information Security Team by providing Compliance support with incidents for the firm.
• Respond to inquires from the field on various compliance topics including trades after death, operations questions, and beneficiary questions.
• Review office-sharing arrangements to ensure alignment with regulatory and Firm requirements.
• Stay up to date with training and current vulnerable adult topics to 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.
• Perform FINRA 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 of Due 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 the Firm.
• Enter cases and supporting documentation into Firm-approved tools.
• Stay informed on new regulations, policies, technologies, products, and related compliance 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.

What you need to have:

• 1–3 years of broker-dealer compliance experience.
• FINRA Series 7 and Series 24 registrations required.
• 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 and support team priorities as needed.
• High school diploma or equivalent required.

Nice to Have:

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