Senior Compliance Analyst

• Conduct reviews of trading activity, customer accounts, and operational processes to ensure compliance with SEC, FINRA, and state regulations
• Assist with maintaining and updating the firm's compliance policies, procedures, and supervisory controls
• Support preparation and submission of regulatory filings, including Form U4, Form ADV, and other required reports
• Provide training and guidance to internal teams on compliance policies and industry best practices
• Assist with pre‑ and post‑hire compliance functions, including background checks, outside business activity reviews, personal trading approvals, and account statement/trade confirmation reviews
• Maintain accurate and organized compliance documentation across multiple areas
• Monitor regulatory changes, industry trends, and rule updates to ensure proactive compliance
• Coordinate with internal teams to resolve compliance‑related issues and ensure proper documentation and follow‑up

• 5-7 years of experience in broker‑dealer compliance, regulatory oversight, or supervisory roles
• Bachelor's degree in Finance, Business Administration, Law, or a related field
• Strong understanding of SEC, FINRA, and state regulatory requirements governing broker‑dealers
• Comprehensive knowledge of financial products including equities, mutual funds, bonds, options, and alternative investments
• Experience working for a broker‑dealer, investment bank, or investment advisory firm
• Must hold or have previously held at least one of the following licenses: Series 7, Series 24, or Series 53
• Exceptional attention to detail and accuracy
• Strong communication, organizational, and problem‑solving skills
• Ability to manage multiple projects and work independently in a fast‑paced environment
• Experience with compliance systems such as FIS, LexisNexis, regulatory reporting platforms, or surveillance tools
• Advanced proficiency in Microsoft Office Suite (Excel, Word, PowerPoint, Outlook)

Experience with CRM and document management systems is a plus