Senior Compliance Analyst

Job Title: Senior Compliance Analyst Summary:
A financial services firm seeks a Senior Compliance Analyst to support regulatory responses, client complaint management, and internal investigations. The successful candidate will help mitigate risk and ensure compliance with applicable laws, industry regulations, and company policies. Reporting to the Director of Regulatory Compliance, this role will serve as a point of contact for escalated compliance issues and help foster a strong compliance culture. The Senior Compliance Analyst will primarily assist in responding to inquiries from FINRA, SEC, and state regulators. This role requires the ability to analyze regulatory requests, coordinate responses, and ensure accuracy in all submissions. Responsibilities include tracking regulatory requests, conducting quality control reviews, and managing response deadlines. Essential Duties and Responsibilities:
•   Support the Director in managing regulatory matters, including meetings, requests, and examinations.
•   Draft and review formal responses to regulatory inquiries from FINRA, SEC, and state regulators.
•   Perform quality control reviews and gap analyses on data and materials provided for regulatory requests.
•   Track and manage multiple deliverables within strict deadlines.
•   Maintain direct communication with examination staff throughout regulatory reviews.
•   Address examiner concerns and provide necessary clarifications.
•   Ensure accuracy and clarity in regulatory documentation.
•   Coordinate responses to regulatory findings and track their resolution.
•   Maintain a structured filing system for examination-related documents.
•   Conduct FINRA Rule 4530 regulatory filings with minimal guidance.
•   Research and respond to customer complaints.
•   Provide support to independent registered representatives and investment advisor representatives.
•   Monitor and assess regulatory changes impacting the firm.
•   Assist in internal investigations and summarize findings for internal stakeholders. Knowledge, Skills, and Abilities:
•   Strong understanding of business risks and the regulatory landscape.
•   Ability to communicate compliance frameworks effectively.
•   Expertise in data verification, quality validation, and gap analysis.
•   Ability to perform under tight deadlines while maintaining professionalism.
•   Strong written communication skills with a focus on factual reporting.
•   Familiarity with regulatory filing systems and secure document encryption. Education and Experience:
•   5+ years of experience in financial services, preferably in a Broker-Dealer or RIA environment.
•   Compliance experience required.
•   Experience in internal audits, branch examinations, or investigations preferred.
•   Ability to handle confidential matters with discretion.
•   Bachelor's degree required.
•   Familiarity with LexisNexis, RegEd, Smarsh, and NFS platforms is a plus. Certifications and Licenses:
•   Series 7
•   Series 24
•   Series 63
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