Senior Compliance Analyst - FINRA Licensed

Job Summary

To uphold regulatory standards for a Broker/Dealer and Registered Investment Advisor, the full-time Senior Compliance Analyst - FINRA Licensed will manage policy development, interpret SEC and FINRA regulations, and collaborate with stakeholders in a hybrid or remote work environment.

Key responsibilities

• Research and apply regulatory requirements to maintain compliance policies and procedures
• Analyze and propose updates to SEC, FINRA, and State regulations based on compliance needs
• Communicate and collaborate with internal and external partners to ensure understanding and adherence to regulatory standards

Required qualifications

• Bachelor's degree or equivalent combination of education and experience
• 1-3 years of experience in broker dealer, registered investment advisor, or financial services regulatory roles
• FINRA Series 6 certification required within 6 months of joining
• Proven ability to interpret regulatory requirements and develop actionable policies
• Strong multitasking skills to manage multiple complex policies simultaneously