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Senior Compliance Analyst

  • Location

    Los Angeles, Dallas, Phoenix, & Denver

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $105,000 - $115,000 + Bonus

  • Contact:

    Katherine Barnes

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    3 months ago

  • Expiry date:


  • Startdate:


A prestigious financial services client of ours is looking to add a Senior Compliance Analyst to their compliance teams located in Los Angeles, Dallas, Phoenix, & Denver. The Senior Compliance Analyst will work closely with the VP of Compliance to develop, implement, oversee, and measure the compliance programs. Specifically, they are looking for someone who is well versed in SEC and FINRA advertising regulations.  

Responsibilities Include:

  • Facilitate communication-related filings with FINRA, the SEC, and various states as required.
  • Review of all forms of communications including but not limited to print, email, public appearances and social media.
  • Maintain awareness of existing and new regulations that govern communications with the public, securities attributes and applicable sales practices.
  • Help to maintain Compliance Department procedures related to communications with the public.
  • Help develop and deliver compliance training around communications with the public to new hires and as part of the broker-dealer’s firm element and annual compliance program.
  • Assist with audits of controls.
  • Provide general compliance support related to all aspects of the broker-dealer’s supervisory procedures.
  • Maintenance of advertising review systems and advertising books and records.

Requirements Include:

  • Bachelor’s degree or equivalent industry and work experience
  • Series 7 and 24 FINRA licenses 
  • 5+ years compliance experience in an investment products, asset management, or financial services organization
  • Knowledge of FINRA and SEC rules regarding investment product marketing
  • Familiarity with investment adviser and broker-dealer compliance, ’40 Act funds, private fund offerings and non-trade REITs is a plus