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

What you’ll be doing:

• Maintain and develop policies and procedures in line with SEC, FINRA, and state rules.
• Responsible for compliance testing under Rule 206(4)-7.
• Review financial plans, reported Personal Brokerage Accounts, retirement plans, Sponsor Due Diligence Event requests, flagged exceptions, and transactions.
• Assist with training for other compliance staff.

Minimum Qualifications

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

For more information please contact Nicole Izurieta at Hamlyn Williams at n.izurieta@hamlynwilliams.com 

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