Broker-Dealer Compliance Analyst

📋 Description

• Review prospective registered representatives’ backgrounds, Form U4 information, registration
• Support Form U4 and U5 filings, amendments, licensing and registration requirements, and other
• Coordinate registered representative and firm registration matters with state securities
• Monitor reportable events and ensure required regulatory filings, disclosures, attestations, and
• Review Outside Business Activity (OBA) disclosures and Private Securities Transaction (PST)
• Review gifts and entertainment expenses, political contributions, and other registered-person

🎯 Requirements

• Bachelor’s degree or equivalent professional experience.
• 3+ years of experience in broker-dealer compliance, registration, supervision, surveillance, or a
• Working knowledge of FINRA rules and broker-dealer supervisory requirements applicable to
• Experience with or familiarity with Form U4/U5, FINRA Gateway/CRD, OBAs, PSTs, personal trading
• Strong analytical skills, sound judgment, and excellent attention to detail.
• Ability to identify matters requiring additional diligence or escalation and clearly document

🎁 Benefits

• 100% Remote work
• Generous Paid Time Off
• Benefits Package
• Paid Family Leave
• Diverse and inclusive culture