Compliance Analyst

Key Responsibilities: Provide guidance on applicable securities regulations and evolving requirements. Support compliance monitoring, testing, and the review of policies and supervisory procedures. Coordinate responses to regulatory reviews, examinations, and requests. Work with internal teams to strengthen controls across business operations and trading activities. Assist senior compliance leadership with day-to-day matters and broader initiatives.

Qualifications: Substantial compliance or advisory experience supporting a FINRA-registered broker-dealer. Experience handling regulatory examinations and interacting with regulators preferred. Familiarity with trading operations, technology, and controls preferred. Knowledge of multiple asset classes desirable. Series 24 required. Additional registrations and a J.D. are a plus. Must be authorized to work in the United States. For further details, please apply or contact us for a confidential discussion.