Broker-Dealer Compliance Analyst
Job Summary
Supporting the supervisory and compliance program, the full-time Broker-Dealer Compliance Analyst will manage the onboarding and ongoing supervision of registered representatives, ensuring adherence to regulatory requirements while working remotely.
Key responsibilities
- Review and process onboarding materials, including Form U4 and U5 filings, for registered representatives
- Administer surveillance of personal trading activities and identify potential conflicts of interest or regulatory concerns
- Assist in responding to regulatory inquiries and maintain accurate compliance records
Required qualifications
- Bachelor's degree or equivalent professional experience
- 3+ years of experience in broker-dealer compliance or a related financial-services role
- Working knowledge of FINRA rules and broker-dealer supervisory requirements
- Experience with Form U4/U5 and personal trading monitoring
- Strong analytical skills and sound judgment in compliance decision-making
Complete Job Description
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