Broker-Dealer Compliance Analyst

This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Broker-Dealer Compliance Analyst based in the United States.

This is an opportunity to play a key role in supporting a sophisticated broker-dealer compliance and supervisory program in a fully remote environment.

You will oversee compliance matters across the registered representative lifecycle, from onboarding and registration through ongoing monitoring and supervision.

The role combines regulatory analysis, surveillance, investigation, documentation, and direct interaction with registered representatives.

You will help identify potential regulatory concerns, assess conflicts and conduct risks, and ensure issues are appropriately investigated and escalated.

The position offers exposure to FINRA, SEC, and state regulatory requirements within an investment banking and private-markets environment.

Success requires strong judgment, meticulous attention to detail, and the ability to manage multiple compliance matters and deadlines independently.

It is an excellent fit for a compliance professional who enjoys solving complex problems while helping maintain strong regulatory and supervisory standards.

Accountabilities:

• Review prospective registered representatives’ backgrounds, Form U4 information, registration histories, disclosure events, and supporting onboarding documentation.
• Support Form U4 and U5 filings, amendments, licensing requirements, registrations, and related FINRA Gateway/CRD processes.
• Coordinate registered representative and firm registration matters with state securities regulators and respond to related regulatory questions and inquiries.
• Monitor reportable events and ensure required filings, disclosures, attestations, certifications, and training are completed accurately and on time.
• Review Outside Business Activity (OBA) disclosures and Private Securities Transaction (PST) requests, assessing potential conflicts, compensation arrangements, and supervisory considerations.
• Review gifts and entertainment, political contributions, personal securities activities, and other registered-person activities for compliance with applicable rules and internal policies.
• Administer and monitor personal securities accounts and personal trading requirements for registered representatives.
• Conduct risk-based surveillance of email and other approved electronic business communications, identifying potential compliance concerns.
• Identify, investigate, and escalate potential conflicts of interest, MNPI, insider trading, information-barrier, restricted-list, off-channel communication, customer complaint, and other supervisory concerns.
• Conduct follow-up reviews and investigations, clearly documenting findings, conclusions, escalations, and supervisory decisions.
• Support responses to FINRA, SEC, state securities regulators, and other regulatory authorities by gathering information and coordinating responses to inquiries and requests.
• Work directly with registered representatives to obtain information, resolve compliance matters, and communicate applicable regulatory requirements.
• Assist with annual and periodic certifications, questionnaires, attestations, and other ongoing supervisory processes.
• Maintain complete and accurate compliance books and records.
• Support regulatory examinations, internal compliance testing, audits, and broader compliance initiatives.
• Monitor FINRA rules, regulatory guidance, and industry developments to help keep supervisory practices current and effective.

Requirements

• Bachelor’s degree or equivalent combination of education and relevant professional experience.
• At least 3 years of experience in broker-dealer compliance, registration, supervision, surveillance, or a related financial-services function.
• Working knowledge of FINRA rules and broker-dealer supervisory requirements applicable to registered representatives.
• Practical familiarity with Form U4/U5, FINRA Gateway/CRD, OBA and PST reviews, personal trading, gifts and entertainment, conflicts of interest, and electronic communications surveillance.
• Strong analytical skills and sound professional judgment, with the ability to distinguish routine matters from issues requiring additional diligence or escalation.
• Excellent attention to detail and a disciplined approach to documentation, recordkeeping, and regulatory processes.
• Strong written and verbal communication skills, including confidence communicating directly with registered representatives and other stakeholders.
• Ability to investigate compliance concerns, ask effective follow-up questions, assess available information, and clearly document decisions.
• Strong organizational and prioritization skills, with the ability to manage a high volume of matters and competing deadlines in a fast-paced environment.
• Ability to work independently while collaborating effectively with compliance and business stakeholders.
• FINRA registrations such as Series 7, 24, 79, and/or 82 are an asset.
• Experience in investment banking, private placements, independent broker-dealer environments, electronic communications surveillance, personal trading monitoring, or registered-person supervisory programs is a plus.
• Experience supporting FINRA or SEC examinations, internal compliance testing, or investigations of potential compliance violations is also desirable.

Benefits

• 100% remote work arrangement within the United States.
• Generous paid time off.
• Comprehensive benefits package.
• Paid family leave.
• Diverse and inclusive workplace culture.
• Opportunity to gain broad exposure to broker-dealer supervision, investment banking, private-market transactions, and regulatory compliance.
• Opportunity to work across registration, surveillance, investigations, conflicts, regulatory inquiries, and ongoing supervisory programs.