About the role
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.
What You’ll Do
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
What You Need to Have: 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
What's Nice to Have: 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
Compensation
The base annual salary range for this role is $85,000 to $95,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
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