Compliance Analyst

Compliance Analyst

The Compliance Analyst supports employees across the organization by providing guidance on compliance matters, company policies, and industry regulations. This role is responsible for managing employee disclosures, maintaining registration records, and ensuring adherence to securities, investment advisory, municipal advisory, and insurance regulatory requirements. The position works closely with employees, compliance professionals, and various corporate departments to help maintain the firm's regulatory standards and ethical practices.

Responsibilities

• Manage and monitor employee registration and licensing records throughout onboarding, active employment, and separation processes.
• Administer and track continuing education programs to ensure compliance with regulatory requirements and deadlines.
• Review, evaluate, and document employee disclosures to ensure alignment with company policies and industry regulations.
• Prepare and distribute communications related to disclosure reviews, investigations, and resolutions.
• Ensure employees complete required compliance obligations and maintain accurate supporting documentation.
• Assist with the development, revision, and maintenance of compliance policies, procedures, and internal communications.
• Conduct research and provide support for regulatory examinations, audits, inquiries, and special compliance projects.
• Partner with business units and corporate teams to address compliance concerns and promote regulatory awareness.

Qualifications

• Bachelor's degree or equivalent combination of education and relevant work experience.
• 1-2 years of experience in compliance, financial services, broker-dealer operations, or investment advisory environments.
• Strong analytical, organizational, and problem-solving abilities.
• Excellent attention to detail and the ability to interpret complex regulations and compliance requirements.
• Effective verbal and written communication skills with the ability to interact professionally across all levels of an organization.
• Proven ability to manage multiple priorities and work independently in a fast-paced environment.
• Strong proficiency with Microsoft Office applications, particularly Word and Excel.
• Experience with compliance management systems or regulatory software is preferred.
• SIE qualification or willingness to obtain it within two years.
• Familiarity with FINRA, SEC, broker-dealer regulations, and investment products is preferred.

Job Details:

• Contract
• Hybrid AFTER training
• Pay $26-$30 an hour, depending on experience

Benefit offerings include medical, dental, vision, life insurance, short-term disability, additional voluntary benefits, EAP program, commuter benefits, and 401K plan. Our program provides employees the flexibility to choose the type of coverage that meets their individual needs. Available paid leave may include Paid Sick Leave, where required by law; any other paid leave required by Federal, State, or local law; and Holiday pay upon meeting eligibility criteria.

Equal Opportunity Employer/Veterans/Disabled Military connected talent encouraged to apply.