Broker-Dealer Compliance Analyst

This is a fully remote position, open to applicants in United States.

📋 Description

• Evaluate the backgrounds of prospective registered representatives, including Form U4 details, registration history, disclosure events, and onboarding documentation.

• Assist with Form U4 and U5 filings, amendments, licensing and registration obligations, and processes related to FINRA Gateway/CRD.

• Liaise with state securities regulators to coordinate registration matters for registered representatives and firms.

• Track reportable events, ensuring that regulatory filings, disclosures, attestations, and training are completed accurately and promptly.

• Assess Outside Business Activity disclosures and Private Securities Transaction requests, considering conflicts, compensation arrangements, and supervisory factors.

• Review expenses related to gifts and entertainment, political contributions, and other activities of registered persons.

• Manage and oversee personal securities accounts and trading requirements of registered representatives.

• Recognize and escalate potential conflicts of interest, MNPI, insider trading, information barriers, and restricted-list issues.

• Perform risk-based surveillance of email and other approved electronic business communications.

• Identify and escalate unapproved activities, customer complaints, undisclosed conflicts, inappropriate communications, off-channel communications, and additional regulatory concerns.

• Conduct follow-up reviews and investigations, documenting conclusions, escalations, and supervisory actions.

• Assist with inquiries related to customer complaints, regulatory investigations, disclosure events, and registered representative conduct reviews.

• Support responses to regulatory bodies such as FINRA, SEC, state securities regulators, and other authorities.

• Collaborate directly with registered representatives to gather information, resolve compliance issues, and communicate requirements effectively.

• Aid in the completion of certifications, questionnaires, attestations, and other supervisory processes.

• Maintain comprehensive and accurate compliance records and documentation.

• Support regulatory examinations, internal compliance testing, audits, and various Compliance initiatives.

• Stay informed on FINRA regulations, regulatory guidance, and industry trends impacting registered representatives and broker-dealer supervision.

⛳️ Requirements

• Bachelor's degree or equivalent professional experience is required.

• A minimum of 3 years' experience in broker-dealer compliance, registration, supervision, surveillance, or a related role in the financial services sector.

• Proficient understanding of FINRA regulations and broker-dealer supervisory requirements relevant to registered representatives.

• Familiarity with Form U4/U5, FINRA Gateway/CRD, OBAs, PSTs, personal trading, gifts and entertainment, conflicts of interest, and electronic communications surveillance.

• Strong analytical abilities, sound judgment, and meticulous attention to detail.

• Capability to identify issues that require additional scrutiny or escalation while accurately documenting compliance decisions.

• Excellent written and verbal communication skills, with comfort in direct interactions with registered representatives.

• Ability to handle a high volume of tasks and meet competing deadlines in a dynamic environment.

• Relevant FINRA registrations, such as Series 7, 24, 79, and/or 82, are advantageous.

• Experience in investment banking, private placements, or within an independent broker-dealer setting is a plus.

• Background in reviewing complex OBA, PST, conflicts-of-interest, or registered-person disclosure issues is beneficial.

• Familiarity with electronic communications surveillance, personal trading monitoring, or registered-person supervisory programs is an asset.

• Experience investigating potential compliance violations or concerns regarding registered representative conduct is advantageous.

• Experience in supporting FINRA or SEC examinations or internal broker-dealer compliance assessments is a plus.

🏝️ Benefits

• 100% Remote work opportunity.

• Generous Paid Time Off policy.

• Comprehensive Benefits Package.

• Paid Family Leave.

• Commitment to a diverse and inclusive workplace culture.