Senior Compliance Analyst – Electronic Communications Surveillance

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

📋 Description

• Evaluate escalated electronic communications produced by the Firm's surveillance program.

• Document the findings of reviews, investigative actions, and final decisions.

• Raise awareness of potentially inappropriate communications, conduct issues, and supervisory matters.

• Assist in reviews concerning off-channel communications and repatriated communication records.

• Support thematic evaluations, surveillance initiatives, and branch inspection assistance.

• Engage in trend analysis, reporting, and metric formulation.

• Aid in surveillance reconciliation, quality assurance, and documentation processes.

• Keep precise records and case documentation in compliance with Firm standards.

• Collaborate with Compliance and business stakeholders to ensure timely and effective oversight of electronic communications throughout the Firm.

⛳️ Requirements

• Bachelor's Degree with 4 years of experience OR a High School Diploma or GED/Equivalent with 8 years of experience in Analytics or a Financial Compliance/Regulatory environment.

• FINRA Series 24 license is mandatory.

• 1-3 years of experience in BD and/or RIA, preferably in supervision or Compliance.

• Fundamental knowledge of securities industry regulations and supervisory principles.

• Excellent organizational, analytical, and communication abilities.

• Capability to handle competing priorities in a high-speed environment.

• Preferably have broker-dealer or RIA compliance experience.

• Experience in reviewing electronic communications, account activities, correspondence, or supervisory exceptions is advantageous.

• Familiarity with FINRA Rules 2210 and 3110 is preferred.

• Experience with surveillance, case management, or workflow platforms is beneficial.

• Insurance Licensing/Life & Health experience is a plus.

• A strong interest in pursuing a long-term career in compliance, supervision, and regulatory risk management.

🏝️ Benefits

• Total compensation may include variable incentives, bonuses, benefits, and/or other awards.

• A competitive, well-structured, and high-quality benefits program.