Job Description
Compliance Analyst – Branch Audits
Location: Malden, MA (Hybrid – 2x per week onsite) | Frequent Travel Required
We are seeking an experienced Compliance Analyst to join our team. This role is key to maintaining regulatory and operational oversight through branch audits and daily compliance supervision.
Key Responsibilities:
- Conduct frequent on-site branch audits across the US, primarily on the East Coast
- Perform trade/email reviews and new account approvals, including variable annuities
- Collaborate with financial advisors and internal teams to resolve compliance issues
- Support regulatory inquiries and internal/external audits
- Assist in maintaining compliance policies, procedures, and controls
Qualifications:
- FINRA Series 7 & 24; Series 66 or 65
- 7+ years of experience in operational and compliance roles within independent broker-dealers/SEC-registered RIAs
- Strong knowledge of FINRA/SEC rules and branch audit experience
- Excellent communication, analytical, and organizational skills
- Willingness to travel frequently and manage a flexible schedule