Senior Compliance Analyst

What you'll do

• Provide regulatory updates to ensure compliance across multiple business lines.
• Investigate and respond to various types of regulatory inquiries and examinations.
• Ensure policies and procedures are comprehensive, current, and reflect sound practices.
• Collaborate with teams on continuous improvement projects related to compliance functions.
• Maintain firm integrity by interacting with other departments on FINRA requirements.

What we're looking for

• Minimum 5+ years of experience in compliance functions at a broker-dealer.
• FINRA Series 7 and ability to complete the Series 24 examination.
• In-depth knowledge of SEC and FINRA rules with interaction experience on regulatory inquiries.
• Exceptional interpersonal and written communication skills for diverse stakeholders.
• Proficiency in leveraging AI tools to optimize workflow efficiency and automate processes.
• Demonstrated ability to prioritize, multitask effectively under pressure, and manage time efficiently.
• Ability to exemplify professional standards and ethical conduct as a role model.