Senior Compliance Analyst (Regulatory Requests)
About the positionResponsibilities• Provide general regulatory and other compliance-related updates to ensure continued rule compliance for many business lines• 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• Actively participate in responding to various types of regulatory inquiries and participating in regulatory examinations• Ensuring that applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect the firm's business practices and processesRequirements• Bachelor's degree (or equivalent experience) required; advanced degree e.g.Juris Doctor (JD) preferred• 5+ years of experience in the compliance functions of a broker dealer• Experience with FINRA rules applicable to marketing and client communications and regulatory filings• Correspondent Clearing experience strongly preferred• FINRA Series 7 and 24 License(s) required (or willingness to obtain the Series 24 within 90 days of hire)Nice-to-haves• Strong interpersonal and written communication skills• Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail• In depth knowledge of applicable SEC and FINRA rules and able to interact with several SRO compliance counterparts on regulatory inquiries and examinations• Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential• A critical thinker and problem solver to understand the details while also staying on task for the overall program objectivesBenefits• Healthcare benefits (medical, dental and vision, EAP)• Competitive PTO• 401k match• Parental leave• HSA contribution match• Paid subscription to the Calm app• Generous external learning and tuition reimbursement benefits• Hybrid work schedule allowing flexibility of working from home and one of the primary offices Apply tot his job