Compliance Analyst - Branch Exams

About the role

The organization operates within the financial services industry as a network of independent retail broker-dealers. It addresses the challenge of delivering objective financial advice and retail services across numerous financial institutions and advisors nationwide. The company supports its advisors with comprehensive broker-dealer and registered investment adviser services, wealth management platforms, and technology, serving a large network across the country. The Compliance Analyst - Branch Exams is responsible for conducting audits of securities brokerage and advisory branch offices to ensure compliance with regulatory requirements and internal policies. This role is key in fostering collaboration between the audit team and leadership at various broker-dealer offices and supervising financial professionals. The position operates remotely and requires significant domestic travel, contributing to the overall regulatory compliance and operational integrity of the organization.

Responsibilities

• Conduct audits of brokerage and advisory branch offices with up to 50% domestic travel
• Investigate potential audit exceptions
• Conduct opening and closing interviews with branch personnel
• Prepare detailed audit reports
• Collaborate with audit team and managers to improve processes and efficiencies

Requirements

• Series 7, 24, and 66 licenses or Series 63 and 65
• Minimum 5 years of experience in auditing, broker-dealer operations, or securities/advisory compliance
• Ability to work remotely in a self-directed environment
• Strong written and verbal communication skills
• Proficiency with MS Office, including Word, Excel, Teams, and Outlook
• Preferred: Bachelor’s or Associate’s degree in Business, Finance, Accounting, or Economics
• Previous remote work experience and frequent business travel

Pay

Base annual salary range is $64,000 to $94,000, plus a performance-based bonus. Salary depends on skills, experience, certifications, and location.

Benefits

• Inclusive health, dental, vision, and life insurance plans
• Mental health benefits accessible to employees and families
• Over 20 days of paid time off, paid holidays, and 2 wellness days
• 401(k) plan with up to 5% company contribution and financial planning support
• Paid parental leave for birth, adoption, and foster care
• Health Savings and Flexible Spending Accounts
• Employee Assistance Program, LifeLock, Pet Insurance