Compliance Analyst – Branch Exams

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

📋 Description

• Perform examinations of securities brokerage and advisory branch offices, which may involve up to 50% domestic travel.

• Investigate potential audit anomalies.

• Conduct opening and closing discussions/meetings with branch staff.

• Prepare detailed reports.

• Collaborate with team members and Audit Managers to enhance processes and create efficiencies within the department.

⛳️ Requirements

• Possession of Series 7, 24, and 66 (or 63 and 65) exams/licenses.

• At least 5 years of relevant experience in auditing/examining, broker-dealer operations, and/or securities/advisory compliance.

• Capability to operate effectively in a self-directed environment while working remotely from your primary residence.

• Excellent written and verbal communication abilities.

• Proficiency in PC skills, especially in MS Office, including MS Word, Excel, Teams, and Outlook.

🏝️ Benefits

• Comprehensive health, dental, vision, and life insurance plans designed to accommodate diverse lifestyles, promote preventative care, and provide protection against financial hardships.

• Convenient access to mental health benefits to support our team members and their families.

• More than 20 days of paid time off (PTO), paid holidays, and 2 paid wellness days to allow employees to spend time with loved ones, recharge, and contribute to their communities.

• 401(k) Savings plan with a generous company contribution (up to 5%), along with access to a financial professional to help employees plan for a secure financial future beyond their working years.

• Paid parental leave to assist all team members during birth, adoption, and fostering.

• Health Savings and Flexible Spending Account options to help save on healthcare, daycare, commuting, and more.

• Employee Assistance Program (EAP), LifeLock, Pet Insurance, and additional benefits.