Compliance Analyst - Branch Exams

_{Compliance Analyst - Branch Exams}

The Compliance Analyst – Branch Exams conducts audits of broker‑dealer and advisory branch offices to assess compliance with FINRA, SEC, and applicable state regulatory requirements, as well as firm policies and procedures. This role plays a critical part in building trusted partnerships between the Audit team, firm leadership, field supervisors, and financial professionals.

This position reports directly to an Audit Manager and is fully remote, with periodic travel required.

• →Conduct compliance examinations of securities brokerage and advisory branch offices 
  • →Approximately 90% of exams are performed remotely
  • →Up to 40% domestic travel may be required as business needs evolve
• →Identify, research, and investigate potential audit exceptions
• →Lead opening and closing meetings with branch personnel and leadership
• →Prepare clear, well‑organized audit reports and supporting documentation
• →Collaborate with Audit Managers and team members to improve processes, drive efficiencies, and enhance exam quality
• →Apply regulatory knowledge to real‑world business scenarios with sound judgment and professionalism

• Active Series 7, 24, and 66 licenses (or Series 63 and 65)
• 5+ years of relevant experience in: 
  • Branch examinations or audits
  • Broker‑dealer operations
  • Securities or investment advisory compliance
• Ability to work independently in a remote, self‑directed environment
• Strong written and verbal communication skills
• Proficiency with Microsoft Office, including Word, Excel, Teams, and Outlook

• Bachelor’s or Associate’s degree in Business, Finance, Accounting, or Economics 
• 10+ years of experience in financial services or a related field
• Prior experience working remotely and traveling regularly for business
• Comfortable leveraging AI‑enabled tools to improve efficiency and quality
• AI Prompt Engineering