Compliance Analyst, Robert Half

Compliance Analyst

Robert Half

Location:

United States, San Diego

Category:

Finance

Contract Type:

Employment contract

Salary:

Not provided

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Job Description:

Our client, a mid-sized broker-dealer based in San Diego, CA, is seeking a Compliance Analyst to join their dynamic team. This position plays a critical role in ensuring the firm’s compliance with financial regulations and internal policies, protecting the integrity and ethical standards of the organization.

Job Responsibility:

Monitor and maintain compliance with FINRA, SEC, and other applicable regulatory standards governing broker-dealers
Conduct ongoing reviews and audits of internal processes, policies, and transactions to detect and address potential compliance issues
Assist with regulatory reporting, including the preparation and submission of key reports, disclosures, and filings
Serve as a resource to registered representatives and staff, providing guidance on compliance-related inquiries
Review marketing and advertising materials for regulatory compliance
Support the development and delivery of compliance-related training and education programs for employees
Collaborate with internal departments, including legal and operations, to ensure compliance protocols are integrated into company processes
Stay informed on updates to securities regulations and industry best practices, incorporating changes into company compliance procedures as needed.

Requirements:

Previous experience in broker-dealer compliance is mandatory, with a strong understanding of financial services regulations, including FINRA/SEC rules
Active Series 7 and Series 66 licenses (or equivalent) are required
Bilingual (Spanish) required
Exceptional analytical skills and attention to detail to identify and mitigate compliance risks
Proficiency in reviewing and interpreting regulatory documents and guidance
Excellent communication skills to effectively relay compliance matters to internal and external stakeholders.

Nice to have:

Demonstrated ability to build strong relationships with regulators and internal staff at various levels
Experience in monitoring broker-dealer activities, including trading, advertising, and supervisory processes
Strong organizational skills with the ability to prioritize tasks and meet strict deadlines.

What we offer:

Competitive salary and benefits package
A collaborative team environment with opportunities for professional growth
A company culture that values integrity, innovation, and compliance excellence.

Additional Information:

Job Posted:

March 23, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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