Senior Compliance Analyst

Location: Dallas, TX (Hybrid - 3 Days In‑Office)
Pay: $30 - $40/ hr DOE

Role Overview

Key Responsibilities

• Conduct reviews of trading activity, customer accounts, and operational processes to ensure compliance with SEC, FINRA, and state regulations.
• Assist with maintaining and updating the firm's compliance policies, procedures, and supervisory controls.
• Support preparation and submission of regulatory filings, including Form U4, Form ADV, and other required reports.
• Provide training and guidance to internal teams on compliance policies and industry best practices.
• Assist with pre‑ and post‑hire compliance functions, including background checks, outside business activity reviews, personal trading approvals, and account statement/trade confirmation reviews.
• Maintain accurate and organized compliance documentation across multiple areas.
• Monitor regulatory changes, industry trends, and rule updates to ensure proactive compliance.
• Coordinate with internal teams to resolve compliance‑related issues and ensure proper documentation and follow‑up.

Required Qualifications

• 5-7 years of experience in broker‑dealer compliance, regulatory oversight, or supervisory roles.
• Bachelor's degree in Finance, Business Administration, Law, or a related field.
• Strong understanding of SEC, FINRA, and state regulatory requirements governing broker‑dealers.
• Comprehensive knowledge of financial products including equities, mutual funds, bonds, options, and alternative investments.
• Experience working for a broker‑dealer, investment bank, or investment advisory firm.
• Must hold or have previously held at least one of the following licenses: Series 7, Series 24, or Series 53.
• Exceptional attention to detail and accuracy.
• Strong communication, organizational, and problem‑solving skills.
• Ability to manage multiple projects and work independently in a fast‑paced environment.

Technical Skills

• Experience with compliance systems such as FIS, LexisNexis, regulatory reporting platforms, or surveillance tools.
• Advanced proficiency in Microsoft Office Suite (Excel, Word, PowerPoint, Outlook).
• Experience with CRM and document management systems is a plus.