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Compliance Analyst

  • Location


  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $70,000 to $80,000

  • Contact:

    Nicole Izurieta

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:

    Compliance Analyst

  • Published:

    2 months ago

  • Expiry date:


  • Startdate:


We’ve partnered with an exciting broker dealer looking to add a Compliance Analyst to their growing team. This is a hybrid position based out of Washington D.C. 

What you’ll be doing:

  • Conduct compliance testing under Rule 206(4)-7 and 3120Assist with the maintenance of policies and procedures, compliance testing, and reviews
  • Assist in reviews of financial plans, retirement plans and ORIA activity
  • Review Sponsor Due Diligence Event requests, flagged exceptions, and transactions
  • Serve as training support for compliance staff
  • Work on document requests from regulatory bodies such as FINRA, SEC, and internal audit and legal

Minimum Qualifications:

  • Bachelor’s degree or relevant work experience
  • 2+ years of experience in financial services, securities, regulatory, or legal compliance
  • Must have FINRA series 7 & 24. 

For more information please contact Nicole Izurieta at Hamlyn Williams at