Compliance Analyst with FINRA License

Job Summary

A company is looking for a Compliance Analyst to support ongoing compliance operations in a regulated fintech environment.

Key Responsibilities

• Support compliance operations for a registered broker-dealer and transfer agent, including policies and regulatory filings
• Assist with monitoring, surveillance activities, and regulatory exams or audits
• Track regulatory changes and assess their potential impact on the business

Required Qualifications

• 4+ years of experience in AML/KYC compliance, risk, or regulatory operations within financial services
• Experience in broker-dealer and AML/KYC compliance in a FINRA/SEC regulated environment
• Familiarity with AML/KYC, trade surveillance, and regulatory reporting
• Experience with investigation tools such as Lexis Nexis and World Check
• Relevant certifications such as CAMS or FINRA licenses