Job Description:
Our client, a mid-sized broker-dealer based in San Diego, CA, is seeking a Compliance Analyst to join their dynamic team. This position plays a critical role in ensuring the firm’s compliance with financial regulations and internal policies, protecting the integrity and ethical standards of the organization.
Key Responsibilities:
- Monitor and maintain compliance with FINRA, SEC, and other applicable regulatory standards governing broker-dealers.
- Conduct ongoing reviews and audits of internal processes, policies, and transactions to detect and address potential compliance issues.
- Assist with regulatory reporting, including the preparation and submission of key reports, disclosures, and filings.
- Serve as a resource to registered representatives and staff, providing guidance on compliance-related inquiries.
- Review marketing and advertising materials for regulatory compliance.
- Support the development and delivery of compliance-related training and education programs for employees.
- Collaborate with internal departments, including legal and operations, to ensure compliance protocols are integrated into company processes.
- Stay informed on updates to securities regulations and industry best practices, incorporating changes into company compliance procedures as needed.
Qualifications:
Required Skills & Experience:
- Previous experience in broker-dealer compliance is mandatory, with a strong understanding of financial services regulations, including FINRA/SEC rules.
- Active Series 7 and Series 66 licenses (or equivalent) are required.
- Bilingual (Spanish) required
- Exceptional analytical skills and attention to detail to identify and mitigate compliance risks.
- Proficiency in reviewing and interpreting regulatory documents and guidance.
- Excellent communication skills to effectively relay compliance matters to internal and external stakeholders.
Preferred Attributes:
- Demonstrated ability to build strong relationships with regulators and internal staff at various levels.
- Experience in monitoring broker-dealer activities, including trading, advertising, and supervisory processes.
- Strong organizational skills with the ability to prioritize tasks and meet strict deadlines.
What We Offer:
- Competitive salary and benefits package.
- A collaborative team environment with opportunities for professional growth.
- A company culture that values integrity, innovation, and compliance excellence.
