Compliance & AML Analyst

AGC Consulting • PR

102d

About The Position

The Compliance Analyst supports the Compliance Manager in executing the firm’s regulatory and supervisory responsibilities. This person reports to the Compliance Manager and the Chief Compliance Officer. This role is ideal for a detail-oriented professional with a strong understanding of compliance operations, documentation standards, and surveillance systems. The analyst will assist in monitoring daily activities, maintaining records, and supporting internal audits and training efforts.

Requirements

• Education: Bachelor’s degree in Finance, Business Administration, or related field
• Experience: 2–4 years in financial services compliance or operations
• Familiarity with FINRA, SEC, and AML regulations
• Ability to understand complex rules and regulations and communicate them to all levels of staff, including management, within all departments and discuss them with external relationships and to develop and implement appropriate procedures
• Must show the ability to manage multiple projects, make quick decisions, use prioritization skills, and concentrate on detailed information in a fast-paced work environment and meet deadlines
• FINRA Series 7 preferred or willingness to complete industry courses (ex. FINRA SIE, Series 7, 24 and 66, and MSRB Series 51/ 53)
• Strong organizational and analytical skills
• Proficiency in Microsoft Office Suite and compliance platforms

Nice To Haves

• Bilingual (English/Spanish) preferred

Responsibilities

• Monitoring proposed, adopted, and amended rules and regulations (FINRA, SEC, MSRB, NFA, state regulations, etc.)
• Perform FINRA Branch Office Inspections
• Manage the Firm’s continuing education program for Associated Persons.
• Assisting in developing and implementing internal compliance training programs
• Assist in customer onboarding, including the performance of customer due diligence, review of new account documentation and ongoing monitoring of customers in accordance with the firm’s policies and procedures and applicable regulatory requirements.
• Assist in monitoring communications through surveillance platforms (e.g., Actimize, Global Relay, Sycamore/Investedge)
• Participating in Compliance initiatives and projects as may be assigned.
• Review documentation of Financial Crime Enforcement Network (FinCEN) postings.
• Review and monitor approval requests for new personal trading accounts, personal trading, outside activities and business gifts, meals and entertainment for employees of the Firm.
• Work with Compliance Officer with the use of Lexis Nexis and running and reviewing reports.
• Maintain accurate and organized compliance records (digital and physical)
• Support documentation of disclosures, suitability reviews, and client communications
• Archive regulatory filings and correspondence for audit readiness
• Compile data for monthly and quarterly compliance reports
• Support the Compliance Office Manager in preparing presentations and memos
• Maintain logs of training attendance, licensing status, and continuing education
• Respond to routine compliance inquiries from staff and registered representatives
• Help draft internal communications regarding policy updates and regulatory changes
• Support the development of training materials and reference guides

What This Job Offers

• Education Level: Bachelor's degree