Sr Compliance Analyst, Broker/Dealer - REMOTE

Job Details Pay Range: $81,100.00 - $121,700.00 Annually. Bonus eligible. Must be located in the United States and available to travel to corporate offices. Position Sr. Compliance Analyst, Broker/Dealer – key contributor to the Broker/Dealer Compliance team, responsible for the implementation, maintenance, and administration of the Compliance Program. Responsibilities Investigate and resolve customer complaints in line with regulatory standards and firm policies. Act as conduit between the firm and regulator. Assess all communications of the firm according to current regulatory requirements and internal guidelines. Protect the confidential nature of communications. Monitor and test against applicable guidelines for potential business practice issues and regulatory concerns. Analyze history and other sources of information for potential issues. Perform further investigation and obtain additional detailed research by questioning the source(s) of communication. Identify and escalates potential issues to senior management as directed. Conduct in-depth surveillance of various functions and processes to ensure compliance with firm policies and procedures. Monitor regulatory developments – internal and industry regulations, guidelines, policies impacting email communication. Possess working knowledge of each business unit and their specific business needs. Develop policies and procedures, communicate them to assigned areas, and disseminate new regulatory developments. Test supervision structure and workflows, recommending improvements while maintaining internal controls. Participate as subject‑matter expert in special projects of the firm and corporate enterprise. Conduct inspections of field offices and supervision offices to identify potential advisor sales practice violations. Create and maintain key risk indicators and metrics using test results and other identifiers. Provide timely updates to Supervisory Principals and OSJ/Branch BOAs regarding compliance and regulatory topics. Support/review compliance, operations and other corporate communications; disseminate relevant materials to management and associates. Qualifications Excellent analytical skills, able to evaluate broad data scopes to identify potential risks. Excellent organization skills; ability to manage multiple priorities independently. Ability to meet time‑sensitive deadlines and provide in-depth reporting to executives, regulators and legal counsel. Demonstrated leadership competency and ability to build relationships. Collaborate as a subject‑matter expert for broker‑dealer and RIA, working with enterprise groups and sales force. Excellent written and verbal communication skills; proven ability to communicate complex information clearly. Ability to travel approximately 30%. Required Credentials Series 7 and 24 Series 63 and/or 65/66 Bachelor’s degree or equivalent of 8 years experience Three years of experience in a securities / investment environment Understanding of FINRA rule 4530 and its application Preferred Qualifications Ability to work during Central or Eastern U.S. business hours. Experience in a compliance function with concentrations in SEC‑registered investment adviser, FINRA member firm, and complaint resolution. Experience reviewing marketing materials and RFPs for an investment adviser. Knowledge of securities laws related to governance and industry markets. Experience implementing solutions to address and mitigate compliance and business risk. Experience with relational database models. Participation in special projects related to business processes, internal controls, and audit verification. Benefits Medical insurance Dental insurance Vision insurance 401(k) retirement plan with company match Short‑term and long‑term disability insurance Paid time‑off and corporate holidays Paid parental leave Company‑paid life insurance Equal Opportunity Statement We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation. #J-18808-Ljbffr