Compliance Analyst

Compliance Analyst
Proactively assess the regulatory landscape and provide guidance on complex regulatory issues. Assist with the day-to-day activity of the broker-dealer monitoring and supervising activities of registered representatives. Perform review of email surveillance, escalating items to the CCO as needed. Develop, review and monitor Firm’s WSP’s in response to changing regulations and Firm policies. Create and monitor staff training and licensing requirements (CE, Forms BD/U4/U5). Advertising review and tracking. Conduct AML reviews and perform ongoing monitoring of clients. Assist in the management of regulatory inquiries/examinations by regulators. Monitor changes in regulatory environments and update internal policies and procedures accordingly. Keep department heads abreast of changes to securities regulations. Advocate for compliance and explain regulations across the firm. Assist with review of compliance monitoring and testing program as needed, including input and preparation of FINRA, NFA, and CFTC annual reports. 3120 and 3130 report development and aggregation. Support the CCO to proactively maintain a positive relationship with all regulators. Perform other duties and special project work as assigned.