Compliance Analyst

Compliance Analyst

Parsonex Securities, Inc. & Parsonex Advisory Services, Inc. | Englewood, Colorado

Location:  Englewood, Colorado

Job Type:  Full-Time, Monday–Friday

Salary: $70,000-$80,000

Employer:  Parsonex Enterprises, Inc.

Registered With:  Parsonex Securities, Inc. (broker-dealer) and Parsonex Advisory Services, Inc. (registered investment adviser)

Reports To:  Chief Compliance Officer

Overview

Parsonex Enterprises is seeking an experienced, licensed Compliance Analyst to support its affiliated financial services firms — Parsonex Securities, Inc., a registered broker-dealer, and Parsonex Advisory Services, Inc., a registered investment adviser — from our office in Englewood, Colorado. The individual is employed by Parsonex Enterprises and its affiliates, and holds their principal and representative registrations with the applicable regulated entities. This is a hands-on execution role for a licensed compliance professional who can manage direct responsibility for compliance functions in a mid-sized, fast-growing firm.

Reporting to and working closely with the Chief Compliance Officer, this role executes the compliance program day to day across both firms — running the recurring compliance calendar, completing regulatory filings, conducting periodic reviews, and holding principal-level approval authority. A technology-enabled compliance program supports the role with structured workflows and supervisory visibility, enabling an efficient, execution-focused approach to the work.

Primary Functions

Regulatory filings & registration

• Prepare and file regulatory forms, amendments, and other filings as required.

• Monitor and maintain CRD/IARD record accuracy.

• Conduct onboarding workflows for registered and non-registered individuals of the firm.

• Draft and manage responses to regulatory inquiries and requests.

Transaction approval & review

• Principal approval of new business — independently review and approve advisory and brokerage new-account submissions for completeness, accuracy, suitability, best interest, and conduct under the firms’ standards and within the scope of the required principal registrations.

• Conduct periodic review of client correspondence, communications, advertising, and marketing materials under applicable FINRA and SEC requirements, including the SEC Marketing Rule.

Program execution & operations

• Manage and adhere to the firms’ compliance calendar — tracking and completing scheduled, deadline-based obligations across both entities so nothing lapses.

• Execute the firms’ compliance program using its technology-enabled workflows, maintaining supervisory records and documentation to firm standards.

• Periodically review customer accounts and maintain current, accurate files consistent with SEC Rule 204-2 and FINRA recordkeeping requirements.

• Support operations and finance by handling representative and internal inquiries as allowable under the firms’ written supervisory procedures.

• Assist various adjacent departments in procuring records and information during financial audits, examinations, and regulatory requests.

• Serve as a knowledgeable point of contact for representatives on compliance and registration questions, and escalate exceptions and judgment items to the CCO.

Qualifications

• Required Licenses: Series 6, Series 26, and Series 65 (a Series 66 satisfies the Series 65 requirement and also covers the Series 63 preference below). The Series 51 (Municipal Fund Securities Limited Principal) is also required as a condition of employment — candidates who do not already hold it must obtain it within 90 days of offer acceptance.

• Preferred License:   Series 63 — a state law exam that pairs with the representative license. Preferred but not required; automatically satisfied if the candidate holds a Series 66.

• Bonus / Growth-Track Licenses: Series 24 (General Securities Principal) and/or Series 53 (Municipal Securities Principal). These are senior principal credentials beyond what this role requires. Candidates are not expected to hold them, and they represent a natural growth path once in the role rather than a hiring criterion.

• Direct experience in broker-dealer and/or RIA compliance and operations.

• Working familiarity with Regulation Best Interest, Form CRS, FINRA Rules 2330, 3110, and 3230, the SEC Marketing Rule, and SEC Rule 204-2 recordkeeping.

• Bachelor’s degree preferred.

• Client service experience preferred — an understanding of the client perspective is valued.

Skills & Attributes

• Sound independent judgment and documentation discipline suited to holding principal-level approval authority.

• Ability to proactively identify process improvements and to own, prioritize, and manage projects to completion.

• Technical problem-solving and workflow-management capability across multiple systems.

• Excellent interpersonal skills, with the ability to build productive relationships with team members, advisors, clients, and peers.

• Strong attention to detail, organization, and a results-oriented approach to resolving compliance issues.

• A team player who thrives in a fast-growing small-office environment and contributes to a dynamic culture.

We Offer

• A dynamic, supportive, and collaborative work environment.

• Meaningful ownership of a core compliance function with room to grow.

• Full benefits package and a healthy work-life balance.

Join Parsonex Enterprises, Inc. and take ownership of a compliance function central to our firm’s success. If you are a licensed compliance professional ready for real responsibility, apply now.