Sr. Analyst, Regulatory Compliance, Comp: 85-100K with excellent Benefits!
Are you a detail-oriented compliance professional who thrives in fast-paced environments, enjoys the challenge of regulatory audits and investigations, and is eager to make a meaningful impact within a collaborative compliance team? Then keep reading.
We are seeking a Sr. Analyst, Regulatory Compliance to join a dynamic, supportive team that plays a critical role in responding to regulatory inquiries (FINRA, SEC, and State regulators), managing internal investigations, and ensuring adherence to evolving regulations in the independent financial advisor space. This position is ideal for someone who values ownership, enjoys working cross-functionally with internal stakeholders, and has a passion for regulatory compliance, investigations, and process improvement.
Key Responsibilities:
- Partner with the Director of Regulatory Compliance to manage regulatory responses, examinations, and inquiries from FINRA, SEC, and State regulators.
- Compose and validate formal responses, ensuring data accuracy, regulatory consistency, and proper documentation.
- Lead tracking and coordination of deadlines, deliverables, and response quality during active audits or investigations.
- Support internal investigations and customer complaint reviews, including fact-gathering, root cause analysis, and internal reporting.
- Conduct quality control reviews, identifying potential gaps, risks, or inconsistencies in responses and internal data.
- Assist in the tracking and resolution of regulatory findings to ensure timely and effective remediation.
Who You Are:
- 5+ years of regulatory compliance experience within RIA firm or similar.
- Direct experience with regulatory exams, internal audits, branch exams, or investigations preferred.
- Strong familiarity with Lexis Nexis, RegEd, Smarsh, and NFS (Streetscape) is a plus.
- Confident interacting with independent financial advisors, regulators, and internal leadership.
Required Licenses:
- Series 7
- Series 24
- Series 63 (or 66)
