Lead Compliance Analyst – Compliance Testing & Regulatory Oversight

Five years of regulatory compliance, insurance, securities, financial services, internal audit, risk management, testing, monitoring, advisory compliance or other relevant experience.

Strong working knowledge of FINRA and SEC requirements.

Experience supporting compliance programs, compliance testing, regulatory examinations, and compliance risk assessments.

FINRA Series 7 and 24 licenses.

Ability to research, analyze, and interpret complex regulatory requirements and assess business impacts.

FINRA Series 65 or 66 license.

For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.

Compensation Benefits

Competitive Pay

Bonus for Eligible Employees

Benefits Package

Pension Plan

As a key member of the Compliance department, help strengthen the effectiveness of the compliance programs of a broker-dealer, registered investment adviser, and insurance agency by leading compliance testing, monitoring, and regulatory oversight activities that mitigate legal, regulatory, operational, and reputational risk.

Apply advanced knowledge of applicable rules and regulations to independently evaluate controls, identify risks and trends, lead complex testing initiatives, and recommend enhancements that support regulatory compliance and business objectives.

Serve as the primary owner and coordinator for assigned compliance testing, regulatory monitoring, and compliance oversight programs across the broker-dealer, registered investment adviser, and insurance agency including annual FINRA Rule 3120 and Advisers Act Rule 206(4)-7 compliance reviews.

Lead the planning, execution, documentation, and ongoing enhancement of risk-based compliance testing programs, including the development and maintenance of regulatory risk assessments; testing methodologies, sampling approaches, procedures, workpapers, and calendars; reporting frameworks; risk matrices; compliance logs; and supporting records.

Evaluate business processes, supervisory controls, policies, procedures, products, and services to assess compliance with applicable SEC, FINRA, and state regulatory, and internal requirements.

Analyze testing results to identify control weaknesses, root causes, emerging risks, and recurring issues, and recommend practical improvements to strengthen compliance controls, business practices, and the maturity of the compliance testing and monitoring program.