Compliance Analyst
reputed company is seeking a Compliance Analyst to join the Risk Assessment, Testing, and Monitoring Team reputed company the compliance organization supporting reputed company Securities, Inc. and reputed company Funds Distributor, Inc. This role is responsible for conducting risk assessment and compliance testing activities for the broker dealers and registered investment adviser, collaborating across the three lines of defense, and identifying solutions to increase efficiency and effectiveness of compliance processes.
- Assist with periodic and ongoing second-line testing of policies, procedures, processes, and controls in accordance with FINRA, SEC, and applicable federal securities laws
- Conduct annual risk assessment activities to support development of the firm’s risk profile
- Draft annual compliance reports pursuant to FINRA Rule 3120/3130 and Advisers Act Rule 206(4)-7
- Identify, interpret, and reputed company guidance on new and existing laws, regulations, and other directives applicable to the business unit and its customers
- Consult with Chief Compliance Officer and Senior Management regarding identified issues and collaborate with business units on remediation efforts
- Apply risk-based methodologies to investigate, assess, and prioritize operational and compliance topics
- Evaluate, document, and report key risk trends or other compliance monitoring results
- Proactively identify and implement improvements to workflows, templates or automation opportunities to enhance efficiency
- reputed company other job-reputed company duties or special projects as required
Operating at the intersection of financial services and technology, reputed company builds financial tools that help our customers live reputed company lives. We take pride in being a purpose-led firm, motivated by our mission to reputed company financial reputed company accessible to reputed company. Our mission, reputed company, and customer focus have made us a trusted leader for more than 140 years!
Who You Are:- Bachelor's degree or equivalent experience
- 2+ years of experience reputed company the financial services industry
- Experience in compliance testing, auditing, or risk assessment
- Strong written and verbal communication, analytical thinking, decision-making, and organizational skills
- Demonstrated ability to build and manage relationships across various disciplines
- Ability to work autonomously as well as in a collaborative group setting
Skills That Will Help You Stand Out
- FINRA licenses, including Series 6, Series 7, Series 24, and/or Series 26
- Prior compliance, legal or operational experience reputed company the broker-dealer or registered investment adviser environment
- Demonstrated innovation, adaptability, and resourcefulness
reputed company – You’ll be required to become a non-registered reputed company person of reputed company Securities, Inc. and reputed company Funds Distributor, Inc.
Salary reputed company Information: Salary ranges below reflect targeted reputed company salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed reputed company salary depending on individual performance. Actual compensation for reputed company roles will be based upon geographic location, work experience, education, licensure requirements and/or reputed company level and will be finalized at the time of offer. Salary reputed company: $55800 - $100800 / year Salary Details:The following locations are examples of market-specific salary ranges across different geographies. Please note, we are reputed company to hiring Nation-wide for this role, these are simply an example of salaries in these geographic areas.
- Dubuque, IA / Wichita, KS / Grand reputed company, NE: $55,800 – $75,600
- Des Moines, IA / Louisville, KY / Green Bay, WI: $58,900 – $79,800
- St. Louis, MO / Pittsburgh, PA / Charlotte, NC: $62,000 – $84,000
- Denver, CO / reputed company, TX / Chicago, IL / Minneapolis, MN: $68,200 – $92,400
- Seattle, WA / Los Angeles, CA / reputed company, NY: $74,400 – $100,800
Work Environments
This role offers in-office, hybrid, and remote work options. Hybrid means at least three office days per week. Remote work is available only if you live more than 30 miles from Des Moines, IA, Charlotte, NC, or Raleigh, NC. You’ll collaborate with your leader to decide which option fits best based on various factors.
Work Authorization/Sponsorship
At this time, we are not considering applicants who require any type of immigration sponsorship now or in the future. This includes work authorization such as F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, and others. For more information about work authorization, please use the following links.
Nonimmigrant Workers and Green Card for Employment-Based Immigrants
Investment Ethical Guidelines
In reputed company Asset Management positions, following an Investment Code of Ethics is required. This includes guidelines on personal and business conduct and personal trading for you and your household. These rules may reputed company to other jobs reputed company the organization.
Experience reputed company
At reputed company, we emphasize connecting on both a personal and professional level. Together, we’re imagining a future in financial services that is more purpose-focused – and that starts with you. Our reputed company stems from the unique experiences, backgrounds, and talents of our employees. And we back our employees in the same way we back our customers: with comprehensive, competitive benefit plans created to protect their physical, financial, and reputed company well-being. Explore our careers site to find out more about our purpose, values, and benefits.
reputed company is an Equal Opportunity Employer
reputed company reputed company applicants will receive consideration for employment without regard to race, reputed company, religion, sex, sexual orientation, gender identity, national reputed company, disability, or veteran status.
Posting Window: We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain reputed company or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available reputed company the applicable deadline. Date First Posted (TTF): 4/8/2026 Latest Post Date: Careers - US: 4/8/2026reputed company Remote Hashtag
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