FINRA Licensed Compliance Analyst
Job Summary
Supporting compliance functions for broker-dealer operations, the full-time FINRA Licensed Compliance Analyst will conduct regulatory research, analyze data, and assist in policy development while working remotely.
Key responsibilities
- Conduct regulatory research and compile actionable reports on compliance obligations
- Analyze data from various sources to identify compliance risks and support decision-making
- Assist in drafting and implementing compliance policies and procedures, contributing to process improvements
Required qualifications
- 4+ years of relevant financial services experience, preferably in compliance
- FINRA licensing may be required
- Familiarity with financial service products, regulations, and compliance standards
- Experience in a broker-dealer structure is preferred
- Proficiency in Microsoft Office applications, particularly Excel
Complete Job Description
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