Broker-Dealer Compliance Analyst

📋 Description

• Review prospective registered representatives' backgrounds and Form U4 information
• Support Form U4/U5 filings, licensing, and FINRA Gateway/CRD processes
• Coordinate registrations with state securities regulators and respond to inquiries
• Monitor reportable events, disclosures, attestations, and training
• Review OBA disclosures, PST requests, and personal securities activities
• Conduct risk-based surveillance of electronic communications and escalate concerns

🎯 Requirements

• Bachelor's degree or equivalent combination of education and experience
• At least 3 years of broker-dealer compliance or related experience
• Working knowledge of FINRA rules and supervisory requirements
• Familiarity with Form U4/U5, FINRA Gateway/CRD, OBA/PST reviews
• Strong analytical, documentation, and communication skills
• FINRA Series 7, 24, 79, or 82 registrations are an asset

🎁 Benefits

• 100% remote work within the United States
• Generous paid time off
• Comprehensive benefits package
• Paid family leave
• Diverse and inclusive workplace culture