Regulatory Compliance Specialist FINRA/SEC Focus

Compliance Specialist Key Responsibilities Support the firm’s compliance program to ensure adherence to applicable FINRA rules, SEC regulations, and internal supervisory procedures. Partner with the Compliance team, CEO, and Chief Compliance Officer to assist with day-to-day regulatory and compliance-related activities. Help maintain and periodically review the firm’s Written Supervisory Procedures (WSPs) to ensure alignment with regulatory updates and internal risk management practices. Conduct compliance reviews of brokerage activities, including transaction monitoring, trade reporting, email and correspondence surveillance, and branch supervisory support. Prepare or assist with regulatory filings and updates such as Form BD amendments, U4/U5 filings, FINRA Gateway submissions, and other regulatory disclosures. Support operational compliance processes including new account approvals, account maintenance requests, and asset transfers when required. Assist with internal audits, mock regulatory examinations, and remediation tracking to ensure readiness for regulatory inspections. Review communications, marketing materials, and disclosures to confirm compliance with applicable regulatory and advertising standards. Contribute to improvements in supervisory controls, compliance processes, and regulatory technology or surveillance tools. Maintain all required FINRA licenses and registrations, including Series 7 and Series 24, necessary to perform compliance functions within a U.S. broker-dealer environment. Qualifications Super detail-oriented + organized. Strong writing skills. Comfortable with KYC/AML + onboarding workflows (CIP/KYC docs, basic SOF/SOW, ownership/BO concepts). Solid Excel/Google Sheets skills. Familiarity with screening/case tools (World-Check, LexisNexis, Actimize, Bridger, etc.). Spanish and English. #J-18808-Ljbffr