Associate Compliance Analyst- Broker Dealer

The Broker-Dealer (BD) Compliance team plays a critical role in ensuring that the firm’s policies, procedures, and regulatory obligations are consistently followed across all products, services, and business processes. We serve as both advisors and educators—guiding internal partners and field representatives through complex regulatory requirements while helping them achieve their goals in a compliant and practical manner.

This is a hybrid role, candidates must be located near one of these office hubs: El Segundo, CA | Des Moines, IA | St Cloud, MN | San Diego, CA | Dallas, TX.

What you will do: 

• Administrative & Operational Support
  • Provide administrative support to the BD Compliance team, including creating Salesforce cases, document handling, and project coordination.
  • Provide support for tracking, reporting and follow-up needs of various compliance requirements 
  • Assist with special projects and provide general team support as needed.
• Compliance & Regulatory Oversight

  • Respond to inquiries from field and home office personnel to ensure compliance with firm policies and regulatory requirements.

  • Address emails and phone calls coming into the Compliance inbox and Compliance hotline. 

  • Review and process client accommodations, private securities transactions, and office sharing arrangements.

  • Serve as a liaison for security and vulnerable adult incidents, working closely with internal and field partners. 

  • Monitor regulatory updates and assist in updating compliance manuals and procedures.

  • Perform 3120 and ad hoc testing on specific Compliance and firm functions. 

  • Participate in onboarding reviews for individuals affiliating with the firm.

  • Provide occasional training and guidance to internal teams on compliance topics.

What you need to have: 

• 1–3 years of operational experience within the financial industry (broker-dealer space) 
• Active FINRA Series 7 and 24 licenses.
• High school diploma or equivalent.
• Strong organizational and multitasking skills.
• Excellent written and verbal communication abilities.
• Proficiency in Microsoft Office (Excel, Word, Outlook); Salesforce experience preferred.

What is nice to have: 

• 1 year+ in Compliance in the Broker-Dealer space 
• Familiarity with industry best practices and regulatory frameworks.
• Bachelor’s degree.

Compensation: 

The base annual salary range for this role is $48,000 to $85,000, plus a competitive performance-based bonus.  Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. 

#LI-Hybrid