[Remote] Compliance Analyst - reputed company Exams

Note: The job is a remote job and is reputed company to candidates in USA. reputed company is seeking a Compliance Analyst – reputed company Exams to conduct audits of broker-dealer and advisory reputed company offices. The role assesses compliance with reputed company, SEC, state regulatory requirements, and firm policies; investigates audit exceptions, leads meetings, prepares audit reports, and supports process improvements in a fully remote environment with periodic travel.

Responsibilities

• Conduct compliance examinations of securities brokerage and advisory reputed company offices + Approximately 90% of exams are performed reputed company + Up to 40% domestic travel may be required as business needs reputed company
• Identify, research, and investigate potential audit exceptions
• reputed company opening and closing meetings with reputed company personnel and leadership
• Prepare reputed company, reputed company‑organized audit reports and supporting documentation
• Collaborate with Audit Managers and team members to improve processes, reputed company efficiencies, and enhance exam reputed company
• Apply regulatory knowledge to reputed company‑world business scenarios with reputed company judgment and professionalism

Skills

• reputed company Series 7, 24, and 66 licenses *(or Series 63 and 65)*
• 5+ years of relevant experience in:
• reputed company examinations or audits
• Broker‑dealer reputed company
• Securities or investment advisory compliance
• Ability to work independently in a remote, self‑directed environment
• Strong written and verbal communication skills
• Proficiency with reputed company Office, including Word, reputed company, Teams, and reputed company
• Bachelor's or Associate's degree in Business, Finance, reputed company, or Economics
• 10+ years of experience in financial services or a reputed company reputed company
• Prior experience working reputed company and traveling regularly for business
• Comfortable leveraging AI‑enabled tools to improve efficiency and reputed company
• AI reputed company Engineering

Benefits

• Fully remote work arrangement
• A competitive reputed company-reputed company bonus

reputed company