Broker-Dealer Compliance Analyst

Job not on LinkedIn

🔥 0 minutes ago

🇺🇸 United States – Remote

💵 $65k - $90k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

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Finalis

WebsiteLinkedInAll Job Openings

51 - 200 employees

💼 Consulting

📦 Logistics

📣 Marketing

Consulting • Logistics • Marketing

Finalis is the leading platform enabling the securities brokerage landscape to operate legally and compliantly. The firm delivers a white-labeled regulatory affiliation and compliance back-office solution that supports a wide range of private market dealmaking including M&A, capital raising, private placements, direct participation programs, fintech marketplaces, and alternative investment sponsors. Additionally, Finalis provides leverage to securities brokers with the Finalis Hub, offering a hassle-free deal management solution and a Marketplace that connects brokers for insights and collaboration. Launched in 2020, this SF- and NYC-based firm is on a mission to power dealmakers by building the world’s largest dealmaking platform.

📋 Description

• Review prospective registered representatives’ backgrounds, Form U4 information, registration history, disclosure events, and onboarding materials • Support Form U4 and U5 filings, amendments, licensing and registration requirements, and FINRA Gateway/CRD processes • Coordinate registered representative and firm registration matters with state securities regulators • Monitor reportable events and ensure regulatory filings, disclosures, attestations, and training are completed accurately and timely • Review Outside Business Activity disclosures and Private Securities Transaction requests, including conflicts, compensation arrangements, and supervisory considerations • Review gifts and entertainment expenses, political contributions, and other registered-person activities • Administer and monitor registered representative personal securities accounts and personal trading requirements • Identify and escalate potential conflicts of interest, MNPI, insider trading, information-barrier, and restricted-list concerns • Conduct risk-based surveillance of email and other approved electronic business communications • Identify and escalate unapproved activities, customer complaints, undisclosed conflicts, inappropriate communications, off-channel communications, and other regulatory concerns • Conduct follow-up reviews and investigations and document conclusions, escalations, and supervisory decisions • Support customer complaint, regulatory inquiry, disclosure event, and registered representative conduct reviews • Assist with responses to FINRA, SEC, state securities regulators, and other regulatory authorities • Work directly with registered representatives to obtain information, resolve compliance matters, and communicate requirements • Assist with certifications, questionnaires, attestations, and other supervisory processes • Maintain accurate and complete compliance books and records • Support regulatory examinations, internal compliance testing, audits, and other Compliance initiatives • Stay current on FINRA rules, regulatory guidance, and industry developments affecting registered representatives and broker-dealer supervision

🎯 Requirements

• Bachelor’s degree or equivalent professional experience • 3+ years of experience in broker-dealer compliance, registration, supervision, surveillance, or a related financial-services role • Working knowledge of FINRA rules and broker-dealer supervisory requirements applicable to registered representatives • Experience with or familiarity with Form U4/U5, FINRA Gateway/CRD, OBAs, PSTs, personal trading, gifts and entertainment, conflicts of interest, and electronic communications surveillance • Strong analytical skills, sound judgment, and excellent attention to detail • Ability to identify matters requiring additional diligence or escalation and clearly document compliance decisions • Strong written and verbal communication skills and comfort working directly with registered representatives • Ability to manage a high volume of matters and competing deadlines in a fast-paced environment • Relevant FINRA registrations, including Series 7, 24, 79, and/or 82, are a bonus • Experience in an investment banking, private placement, or independent broker-dealer environment is a bonus • Experience reviewing complex OBA, PST, conflicts-of-interest, or registered-person disclosure matters is a bonus • Experience with electronic communications surveillance, personal trading monitoring, or registered-person supervisory programs is a bonus • Experience investigating potential compliance violations or registered representative conduct concerns is a bonus • Experience supporting FINRA or SEC examinations or internal broker-dealer compliance testing is a bonus

🏖️ Benefits

• 100% Remote work • Generous Paid Time Off • Benefits Package • Paid Family Leave • Diverse and inclusive culture