Compliance Delivery Analyst

Job Summary

A company is looking for a Delivery Analyst to support compliance and legal operations.

Key Responsibilities

• Review written communication and user transaction documents to ensure compliance with FINRA requirements
• Assist in compliance Due Diligence and KYC/AML-related tasks while supporting account management teams
• Maintain a user knowledge base and provide feedback to enhance operational and tech-enabled compliance processes

Required Qualifications

• 2+ years of experience in compliance-related roles
• Ability to handle confidential information and demonstrate accountability
• Experience with Google Workspace
• Willingness to pass FINRA SIE + S82 + S24 exams within the first year
• Flexibility to work on Pacific Standard Time (PST) is a bonus