Compliance Analyst

Confidential • Austin, TX

397d • $67,000 - $67,000

About The Position

The Regulatory Compliance Analyst position at a well-established financial services firm in Austin, TX, is a full-time role focused on supporting critical regulatory initiatives and ensuring compliance standards are met. This role involves collaboration with cross-functional teams to handle regulatory requests, manage customer complaints, and maintain compliance documentation, all while fostering a culture of integrity and innovation.

Requirements

• At least 2 years of experience in financial services, with compliance or regulatory experience preferred.
• Proficiency in Microsoft Office and experience with Salesforce and Adobe Acrobat.
• Strong written communication skills and exceptional organizational abilities.
• Ability to problem-solve in high-pressure situations.
• Required certifications: Series 7, Series 24, and Series 63.

Nice To Haves

• Experience with Wealthscape is a plus.

Responsibilities

• Assist with regulatory filings, examinations, and responses to inquiries.
• Track and manage multiple deliverables to meet tight deadlines.
• Maintain accurate records and documentation to meet regulatory standards.
• Collaborate with internal teams and leadership to support compliance efforts.
• Conduct internal reviews and manage escalation processes for disciplinary matters.

Benefits

• Health insurance
• Dental insurance
• 401(k)

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed