Senior Compliance Analyst

About This Role

The Senior Compliance Analyst will join a rapidly growing organization focused on empowering innovation, growth, and efficiency. We’re looking for someone who:

• Thinks strategically and is inquisitive
• Takes initiative and is a high performer
• Has great communication skills
• Values the power of the team
• Has investment securities experience

Responsibilities

Compliance liaison

• Provide general regulatory and other compliance-related updates to ensure continued rule compliance for many business lines.

Participate in continuous improvement projects with various teams

• You will interact with multiple business units and stakeholders by providing guidance on day-to-day compliance functions to ensure ongoing awareness with regulatory updates and changes.

Investigate regulatory inquires

• Your primary objective will be to actively participate in responding to various types of regulatory inquiries and participating in regulatory examinations.

Help the company continue to meet standards

• You will be responsible for ensuring that applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect the sound business practices and processes.

Qualifications

Bachelor’s degree and/or associate’s degree plus equivalent combination of education, additional certification, and/or experience.

Minimum of 5+ years of experience in the compliance functions of a broker-dealer.

Correspondent Clearing experience strongly preferred.

FINRA Series 7. Ability to successfully complete the Series 24 examination.

In depth knowledge of applicable SEC and FINRA rules and able to interact with several SRO compliance counterparts on regulatory inquiries and examinations.

Exceptional interpersonal and written communication skills.

Highly motivated with capability to work with minimum supervision on a wide range of matters.

Demonstrated ability to meet deadlines and extraordinary attention to detail.

Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills.

Demonstrated proficiency and enthusiasm for leveraging artificial intelligence tools and technologies to optimize workflow efficiency, automate routine administrative processes, and eliminate time-consuming manual tasks, thereby enabling greater focus on high-value strategic activities and client service delivery.

Ability to exemplify exceptional professional standards and ethical conduct that inspires colleagues and stakeholders, serving as a role model through consistent demonstration of company values, proactive problem-solving, and unwavering commitment to excellence in all interactions and deliverables.

Ability to exercise exceptional stewardship over all firm resources—including financial assets, technology systems, office facilities, and staff time—through sustainable practices that protect and enhance long-term organizational value.

Pay

Competitive salary and benefits package.

Schedule

Hybrid work schedule for most roles.