Compliance Analyst - Branch Exams

Compliance Analyst - Branch Exams

The Compliance Analyst – Branch Exams conducts audits of broker‑dealer and advisory branch offices to assess compliance with FINRA, SEC, and applicable state regulatory requirements, as well as firm policies and procedures. This role plays a critical part in building trusted partnerships between the Audit team, firm leadership, field supervisors, and financial professionals.

This position reports directly to an Audit Manager and is fully remote, with periodic travel required.
What You’ll Do

- Conduct compliance examinations of securities brokerage and advisory branch offices
- Approximately 90% of exams are performed remotely

- Up to 40% domestic travel may be required as business needs evolve

- Identify, research, and investigate potential audit exceptions

- Lead opening and closing meetings with branch personnel and leadership

- Prepare clear, well‑organized audit reports and supporting documentation

- Collaborate with Audit Managers and team members to improve processes, drive efficiencies, and enhance exam quality

- Apply regulatory knowledge to real‑world business scenarios with sound judgment and professionalism

What You Need to Have:

- Active Series 7, 24, and 66 licenses (or Series 63 and 65)

- 5+ years of relevant experience in:
- Branch examinations or audits

- Broker‑dealer operations

- Securities or investment advisory compliance

- Ability to work independently in a remote, self‑directed environment

- Strong written and verbal communication skills

- Proficiency with Microsoft Office, including Word, Excel, Teams, and Outlook

What's Nice to Have:

- Bachelor’s or Associate’s degree in Business, Finance, Accounting, or Economics

- 10+ years of experience in financial services or a related field

- Prior experience working remotely and traveling regularly for business

- Comfortable leveraging AI‑enabled tools to improve efficiency and quality

- AI Prompt Engineering

Compensation:

The base annual salary range for this role is $85,000 to $95,000, 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.

Originally posted on Himalayas