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Compliance Analyst

  • Location

    Bay Area

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:


  • Contact:

    Hannah Twomey

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    about 2 months ago

  • Expiry date:


  • Startdate:


A wealth management partner of ours in the Bay Area is looking for a Compliance Analyst to join their growing organization. This position will report to the Chief Compliance Officer and will contribute to the overall execution and improvement of our global compliance program and function at the firm.


As a Compliance Analyst, you will:

  • Assist in responding to inquiries from regulatory bodies
  • Conduct reviews to detect potential violations of Exchange and SEC rules and regulations
  • Review and update policies and procedures
  • Support the CCO with regulatory responsibilities at two affiliated broker-dealers in Chicago, IL and Philadelphia, PA
  • Proactively identify and address potential issues
  • Document routine supervisor checks
  • Assist in preparing training documents
  • Assist in all areas of compliance, including:
  • Cybersecurity
  • Business Continuity Planning
  • Anti-Money Laundering
  • Registration on FINRA WebCRD
  • Employee Code of Ethics
  • Monitoring of employee trading
  • Electronic communication reviews


As a Compliance Analyst, you will need:

  • BA/BS degree or equivalent
  • High attention to detail
  • Able to handle multiple projects at one time
  • Excellent interpersonal, analytical, and communication skills
  • Flexible and calm under pressure
  • Excellent writing skills
  • High interest in the financial markets
  • Ability to stay composed in an extremely fast paced environment
  • Must be fully vaccinated for Covid-19


If you are a Compliance Analyst, you can apply by:

Selecting the “Apply” button below or by contacting me directly.

As a Compliance & Financial Crime market specialist, I am partnered with a myriad of large and small Financial Services and Wealth Management Institutions across the West Coast. If this role is of interest to you, or if you are interested in exploring other opportunities within the market, you are welcome to reach out directly to:

Hannah Twomey,, 619-324-0225