Senior Compliance Analyst (Regulatory Requests)

About the position The Senior Compliance Analyst (Regulatory Requests) plays a key role within our Compliance Program. The role requires interacting with both regulators (FINRA, SEC, etc.) and key business stakeholders to document, track and submit documentation and data in a timely manner. The individual will embody a profound sense of ownership, accountability, and expertise, ensuring that our standards of operational resiliency are consistently met. Responsibilities • Provide general regulatory and other compliance-related updates to ensure continued rule compliance for many business lines • Interact with Operation groups and other business units by providing guidance on day-to-day compliance functions to ensure ongoing awareness with regulatory updates and changes • Actively participate in responding to various types of regulatory inquiries and participating in regulatory examinations • Ensuring that applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect the firm's business practices and processes Requirements • Bachelor's degree (or equivalent experience) required; advanced degree e.g. Juris Doctor (JD) preferred • 5+ years of experience in the compliance functions of a broker dealer • Experience with FINRA rules applicable to marketing and client communications and regulatory filings • Correspondent Clearing experience strongly preferred • FINRA Series 7 and 24 License(s) required (or willingness to obtain the Series 24 within 90 days of hire) Nice-to-haves • Strong interpersonal and written communication skills • Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail • In depth knowledge of applicable SEC and FINRA rules and able to interact with several SRO compliance counterparts on regulatory inquiries and examinations • Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential • A critical thinker and problem solver to understand the details while also staying on task for the overall program objectives Benefits • Healthcare benefits (medical, dental and vision, EAP) • Competitive PTO • 401k match • Parental leave • HSA contribution match • Paid subscription to the Calm app • Generous external learning and tuition reimbursement benefits • Hybrid work schedule allowing flexibility of working from home and one of the primary offices Apply Now Apply Now