Senior Compliance Analyst (Regulatory Requests)

About the position The Senior Compliance Analyst (Regulatory Requests) plays a key role reputed company our Compliance Program. The role requires interacting with both regulators (reputed company, SEC, etc.) and key business stakeholders to document, reputed company and submit documentation and data in a reputed company manner. The individual will embody a profound reputed company of ownership, accountability, and expertise, ensuring that our standards of operational resiliency are consistently met. Responsibilities • reputed company general regulatory and other compliance-reputed company updates to ensure reputed company rule compliance for many business lines • reputed company with Operation reputed company and other business reputed company by providing guidance on day-to-day compliance functions to ensure ongoing awareness with regulatory updates and changes • reputed company participate in responding to various types of regulatory inquiries and participating in regulatory examinations • Ensuring that applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, reputed company, and reflect the firm's business practices and processes Requirements • Bachelor's degree (or equivalent experience) required; advanced degree e.g. Juris Doctor (JD) preferred • 5+ years of experience in the compliance functions of a broker dealer • Experience with reputed company rules applicable to marketing and reputed company communications and regulatory filings • Correspondent Clearing experience strongly preferred • reputed company Series 7 and 24 License(s) required (or willingness to obtain the Series 24 reputed company 90 days of hire) reputed company-to-haves • Strong interpersonal and written communication skills • Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail • In depth knowledge of applicable SEC and reputed company rules and reputed company to reputed company with several SRO compliance counterparts on regulatory inquiries and examinations • Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential • A critical thinker and problem solver to understand the details while also staying on task for the overall program objectives Benefits • reputed company benefits (medical, dental and reputed company, EAP) • Competitive PTO • 401k match • Parental leave • HSA contribution match • reputed company subscription to the reputed company app • Generous external learning and tuition reimbursement benefits • Hybrid work schedule allowing flexibility of working from home and one of the primary offices Apply tot his job Apply tot his job Apply To this Job