Compliance Analyst - Broker-Dealer

Location: North Dallas, TX
Schedule: Fully Onsite, Monday-Friday, 8:00 AM - 5:00 PM
Pay: $30/hr+ (depending on experience)
Type: Temp-to-Hire

About the Role

We are seeking an experienced Compliance Analyst with a strong background in broker-dealer operations and regulatory compliance. This is a fully onsite position in North Dallas, ideal for a professional who thrives in a structured environment and has a proven track record of managing compliance obligations within the financial services industry.

Key Responsibilities

• Conduct compliance reviews, OSJ inspections, and 3120 supervisory controls testing.
• Oversee AML compliance, trading rules, and regulatory reporting.
• Manage registration processes, including Form U4 and Gateway Systems.
• Ensure adherence to Books and Records requirements (including SEC Rule 17a-4 and electronic recordkeeping).
• Advise business units on compliance matters related to account opening, money movement, and trade reporting.
• Respond to regulatory exams and written inquiries.
• Maintain and update compliance policies and procedures to mitigate risk.

Qualifications

• Experience: Minimum 6-8 years in broker-dealer operations, with at least 3-4 years in a compliance role.
• Education: Bachelor's degree in Finance, Business Administration, Law, or related field.
• Licenses: Series 7, Series 24, and Series 53 (preferred).
• Regulatory Knowledge: Deep understanding of FINRA, SEC, and state regulations.
• Technical Skills: Proficiency in compliance tools (FIS, Lexis Nexis), Microsoft Office Suite, and regulatory reporting systems.