Senior Compliance Analyst - Investor & RIA Services (Hybrid)
About The Position
The Senior Compliance Analyst will serve as a key individual contributor responsible for supporting and enhancing the firm’s Compliance technology environment, with primary responsibility for data governance, workflow administration, and system development across the Broker-Dealer and Registered Investment Advisor platforms. This role will play a critical part in ensuring Compliance systems and surveillance platforms operation effectively, efficiently, and in alignment with regulatory expectations and business needs. The position requires strong technical aptitude, attention to detail, and the ability to translate Compliance requirements into scalable workflows, reporting, and technology solutions. The ideal candidate will bring demonstrated experience with system administration and governance, including proficiency with Global Relay surveillance as well as texting capabilities.
Requirements
- Bachelor's Degree and 4 years of experience in Analytics, Financial Compliance/Regulatory environment OR High School Diploma or GED and 8 years of experience in Analytics, Financial Compliance/Regulatory environment
- 10+ years of broker dealer and/or RIA experience
- 5+ years supporting broker dealer and/or RIA workflows and systems
- Experience with data analysis, reporting, and workflow/process enforcement
- Effective written communication, particularly for regulatory and executive reporting
- Ability to manage multiple matters and deadlines
- Collaborative mindset with ability to work across functions
Nice To Haves
- Demonstrated experience with Global Relay system administration, governance, and/or deployment strongly preferred
- Strong understanding of electronic communications governance, regulatory requirements, and retention and surveillance concepts
- Exposure to regulatory exams or enforcement matters
- Experience developing management or board-level reporting
- FINRA Securities Industry Essentials (SIE) exam as well as Series 6 or Series 7 preferred
- Valid Life & Health Producer license also preferred
Responsibilities
- Support governance of Compliance-related data, including data integrity, reconciliation, retention and reporting controls
- Develop and maintain recurring and ad hoc Compliance reporting and dashboards
- Assist in identifying data trends, anomalies, and potential control gaps across Compliance systems
- Coordinate with stakeholders to ensure reporting is accurate, complete, and aligned with business and regulatory expectations
- Administer and support Compliance systems, workflows, and surveillance tools across Compliance functions
- Partner with Compliance stakeholders to develop, enhance, and optimize workflows, case management, processes, and system functionality
- Support implementation and deployment of new Compliance technologies, enhancements, and integrations
- Coordinate user access governance, configuration management, and system change controls
- Identify opportunities to improve operational efficiency, scalability, and data quality through automation and workflow enhancements
- Support regulatory exams, audits, and internal reviews involving Compliance systems, surveillance, and electronic communications governance
- Partner with Compliance, Supervision, Technology, Legal, and Risk teams to support ongoing program enhancements and strategic initiatives
- Maintain awareness of regulatory developments impacting electronic communications, books and records, and Compliance technology governance
Benefits
- Competitive, thoughtfully designed and quality benefits program
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What This Job Offers
Job Type
Full-time
Career Level
Senior
