Senior Compliance Analyst - Broker Dealer

The Broker-Dealer (BD) Compliance team is responsible for making sure that the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered.

Our core function is to guide and advise our internal partners and field on the policies and procedures of the BD, as well as the rules and regulations of our highly regulated industry.

We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner.

And, when necessary, educate on the reasoning and risks when the desired answer is not possible.

This is a hybrid role, 1 day a week in an office. Candidates must be located near one of our office locations : St Paul, MN San Diego, CA El Segundo, CA Denver, CO Dalla, TX Schaumburg, IL St Cloud, MN Atlanta, GA Boca Raton, FL Enfield, CT.

What you will do :

• Analyze regulatory requests, oversee shared service contributions to requests and help produce reports for various regulatory entity inquiries.
• Analyze and review prospective persons seeking to affiliate with the firm.
• Provide accurate compliance assistance to field and home office personnel
• Perform oversight and monitoring of documented policies and procedures throughout the firm by performing testing, documenting results and identifying and escalating potential issues
• Respond to and address inquiries from various business units to assure compliance with the applicable laws, regulations and firm policy and procedures
• Ability to multi-task while staying on track with regulatory deadlines, field inquiries, and internal assignments.
• Assist and lead other members of the team by helping answer questions and providing guidance when needed.
• Design and deliver compliance training when necessary to internal or field partners.
• Escalate issues within the group to upper management to address
• Review and analyze cases from a practical, policy and regulatory framework
• Primary contacts for this position are : Designated Principals and Registered Representatives in the field Internal partners such as Supervision, Resource Center and Operations
• Extended travel not required; occasional local travel is possible
• Other job duties as assigned

What you need to have :

• 4 + years of BD Compliance experience
• Series 7 and 24 required
• Provide accurate and thorough written documentation
• Manage several tasks proactively
• Work independently as well as in a group
• MS office including Excel, Word, PowerPoint, and Salesforce
• Industry Best Practices
• Problem Resolution
• Thorough Analysis

What is nice to have :

• Series 4 and / or 53 preferred
• Regulations and interpretive guidance
• Interpersonal relations

Compensation :

The base annual salary range for this role is $65,000 to $95,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location.

Base annual salary may also differ significantly due to geography and cost of labor considerations.

LI-Hybrid