合规分析师 - 分支机构检查
Compliance Analyst - Branch Exams
合规分析师 - 分支考试
合规分析师 - 分支考试负责对证券经纪商和顾问分支机构进行审计，以评估其是否符合FINRA、SEC以及适用的州监管要求，以及公司政策和程序。该职位在审计团队、公司领导、现场主管和金融专业人士之间建立可信赖的合作关系中发挥关键作用。
该职位直接向审计经理汇报，为全远程工作，根据业务需求可能需要定期出差。
你将负责
- 对证券经纪和顾问分支机构进行合规性检查
- 大约90%的检查工作通过远程方式进行
- 根据业务需求变化，可能需要最多40%的国内差旅
- 识别、研究并调查潜在的审计异常情况
- 主持与分支机构人员和领导的开幕和闭幕会议
- 准备清晰、有条理的审计报告和支持文件
- 与审计经理和团队成员合作，改进流程、提高效率并提升检查质量
- 将监管知识应用于实际业务场景，展现良好的判断力和专业精神
你需要具备
- 有效的Series 7、24和66执照（或Series 63和65）
- 5年以上相关经验，包括：
- 分支机构检查或审计
- 证券经纪商运营
- 证券或投资顾问合规
- 能够在远程、自我驱动的环境中独立工作
- 强大的书面和口头沟通能力
- 熟练使用Microsoft Office，包括Word、Excel、Teams和Outlook
我们希望你具备：
- 商业、金融、会计或经济学学士或副学士学位
- 在金融服务或相关领域有10年以上经验
- 有远程工作的经验，并经常出差
- 能够熟练使用AI工具以提高效率和质量
- AI提示工程
薪酬：
该职位的基本年薪范围为85,000至95,000美元，另加具有竞争力的绩效奖金。基本年薪取决于多种因素，包括但不限于技能、工作经验年限和深度、认证以及所在地。由于地理和劳动力成本等因素，基本年薪也可能存在显著差异。
最初发布于喜马拉雅山
查看英文原文
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