To Apply for this Job Click Here
Senior Compliance Analyst
Location: Dallas, TX (Hybrid – 3 Days In‑Office)
Pay: $30 – $40/ hr DOE
Role Overview
Our client, a self‑clearing broker‑dealer operating within a highly regulated financial services environment, is seeking a Senior Compliance Analyst to support ongoing regulatory, supervisory, and operational compliance activities. This position plays a key role in ensuring adherence to SEC, FINRA, and state regulatory requirements while supporting the firm’s broader compliance framework.
As a senior individual contributor, this role will take ownership of recurring compliance processes, maintain critical regulatory documentation, and assist with regulatory filings, reviews, and policy updates. The Senior Compliance Analyst will work closely with the Chief Compliance Officer and collaborate with internal teams across Operations, Trading, Legal, and Risk to ensure effective oversight and timely issue resolution.
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.
