Broker Dealer Compliance Analyst

Job Description

Job Description

JOB SUMMARY

The Broker Dealer Compliance Analyst supports the firm’s Compliance Program by helping ensure the firm meets all applicable federal securities laws, FINRA rules, and internal policies. This role is hands-on and cross-functional, requiring close interaction with operations, trading, sales, and management. The Broker Dealer Compliance analyst will also play a key role in helping to create, develop, administer, and execute the firm’s overall compliance framework.

DUTIES OF THE POSITION

Compliance Framework Development & Administration :

• Assist in designing and developing the firm’s compliance framework, including policies, procedures, controls, and risk assessments.
• Partner with the CCO to identify regulatory risks and develop mitigation strategies, ensuring the framework evolves with regulatory changes and business growth.
• Help administer the framework on a day-to-day basis, ensuring testing schedules, reporting protocols, and escalation procedures are clearly documented and followed.
• Support the execution of compliance monitoring plans, including tracking key performance indicators (KPIs) and reporting to senior management and governance committees.
• Contribute to continuous improvement initiatives, identifying gaps or inefficiencies and recommending enhancements.

Regulatory Monitoring & Testing :

Policies & Procedures :

Surveillance & Reporting :

Compliance Support to Business Units :

Recordkeeping & Documentation :

Training & Awareness :

THE DUTIES OF THE CROSS FUNCTIONAL – INTERPERSONAL SKILLS REQUIREMENTS

COMPLIANCE RESPONSIBILITIES

In the performance of their duties, all Bci Securities staff members are required to comply with all state and federal regulatory and legal requirements, including the brokerage Rules and Acts. Additionally, all staff members must comply with Bic’s Personnel Manual and Code of Ethics and other policies of Bci which are either currently in place or which may become effective during the staff member’s employment

PRE-HIRE REQUIREMENTS FOR THIS POSITION

Bci is an Equal Opportunity Employer - All qualified applicants will receive consideration without regard to race, color, religion, gender, national origin, age, disability, veteran status, or any other factor determined to be unlawful under applicable law.