Compliance Analyst, Regulatory Requests

Our Compliance Analyst, Regulatory Requests will join a rapidly growing organization focused on empowering innovation, growth and efficiency.

We are looking for someone who:

• Thinks strategically and is inquisitive - You are intellectually curious and love finding and solving challenges with creative and simple solutions.  You find ways to get things done efficiently without sacrificing quality.
• Takes initiative and is a high performer -  You are driven to be the best.  You own tasks to the end and challenge yourself by setting goals, crushing them, and helping your teammates do the same.
• Have great communication skills - Not only are you articulate when verbally communicating but you can get the message through in a written format.  You also provide alternatives for peers when there is no way possible to compromise regulation requirements.
• Values the power of the team - You work collaboratively and embrace new ideas and opinions to ensure the team succeeds.  Your contributions are not limited to your assigned tasks.
• Investment Securities Experience - You are organized, understand investment terminology and regulatory requirements.  You understand the importance of creating a culture of compliance by interacting with other departments to ensure the firm is compliant with FINRA requirements and maintaining firm integrity.

What you’ll do all day:

• Compliance liaison - Provide general regulatory and other compliance-related updates to ensure continued rule compliance for many business lines.
• Participate in continuous improvement projects with various teams - You will interact with Operation groups and other business units by providing guidance on day-to-day compliance functions to ensure ongoing awareness with regulatory updates and changes.
• Investigate regulatory inquires - One of your primary objectives will be to actively participate in responding to various types of regulatory inquires and participating in regulatory examinations.
• Help the company continue to meet standards - You will be responsible for ensuring that applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect the firm’s business practices and processes.

A few reasons why you might love working here:

• Our Compliance track record - We have an incredible Compliance track record.  We foster a culture of Compliance throughout our firm.
• Our team is passionate and driven to succeed - We work as a team and build off of each other’s knowledge and ideas.  We encourage growth and give you a platform to succeed.
• You are open to change - We are not satisfied with the status-quo.  We are continually changing and looking for someone who is looking to change with us.
• You will have genuine opportunities for growth - We care about your career goals and provide options for growth.  If you are successful in a smaller firm, you are likely to be rewarded and recognized much faster than at a larger firm.

The skills you will need to succeed:

• Bachelor’s degree and/or associate’s degree plus equivalent combination of education, additional certification and/or experience
• Minimum of 3-5 years of experience in the compliance functions of a broker-dealer (Correspondent Clearing experience strongly preferred)
• FINRA Series 7 required
• FINRA Series 24 preferred (or willingness to obtain the Series 24)
• Experience with FINRA rules applicable to marketing and client communications and regulatory filings
• In depth knowledge of applicable SEC and FINRA rules and able to interact with several SRO compliance counterparts on regulatory inquiries and examinations
• Strong interpersonal and written communication skills
• Highly motivated with capability to work with minimum supervision on a wide range of matters
• Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail
• Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential

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