Broker-Dealer Compliance Analyst

Finalis
United States
Workplace: RemoteFull timeUSD 65,000 - 90,000 annuallyFunction: Legal, Risk & ComplianceExperience: 3+ yearsEducation: bachelorsSkills: ["Attention to detail","Analytical skills","Sound judgment","Written communication","Verbal communication","Ability to manage deadlines"]

Support Finalis’s broker-dealer supervisory and compliance program end-to-end for registered representatives. You’ll review onboarding materials (Form U4/U5, FINRA Gateway/CRD, disclosures), monitor reportable events, and handle surveillance, conflicts, personal trading, and communications reviews. You’ll also escalate and document findings, coordinate responses to FINRA/SEC/state regulator inquiries, maintain books and records, and support exams and internal compliance testing.

Loading

Loading job details...

Preparing the role view and application actions.

FursaFursa
Finalis
Finalis
4 days ago

Broker-Dealer Compliance Analyst

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI
Last checked: 12 hours agoStatus: Live

Job Summary

Support Finalis’s broker-dealer supervisory and compliance program end-to-end for registered representatives. You’ll review onboarding materials (Form U4/U5, FINRA Gateway/CRD, disclosures), monitor reportable events, and handle surveillance, conflicts, personal trading, and communications reviews. You’ll also escalate and document findings, coordinate responses to FINRA/SEC/state regulator inquiries, maintain books and records, and support exams and internal compliance testing.
Location: United States
Workplace: Remote
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

  • •Review prospective registered representatives’ onboarding materials, including Form U4 information, registration history, disclosure events, and other documentation.
  • •Support Form U4/U5 filings, amendments, licensing and registration requirements, and coordinate registration matters with state securities regulators.
  • •Administer and monitor personal securities accounts and requirements, including reviewing OBA/PST requests, gifts and entertainment, conflicts, MNPI/insider trading, and related supervisory considerations.
  • •Conduct risk-based surveillance of email and other approved electronic communications, escalating potential conflicts, undisclosed activities, off-channel communications, and complaints for follow-up.
  • •Assist with ongoing compliance support by escalating customer complaints and regulatory inquiries, maintaining books and records, and supporting FINRA/SEC and internal compliance testing and examinations.

Pay and Benefits

Salary: USD 65,000 - 90,000 annually
Perks:Paid LeaveBenefits

Key Requirements

  • •Bachelor’s degree or equivalent professional experience.
  • •3+ years of experience in broker-dealer compliance, registration, supervision, surveillance, or a related financial-services role.
  • •Working knowledge of FINRA rules and broker-dealer supervisory requirements for registered representatives.
  • •Experience with Form U4/U5, FINRA Gateway/CRD, OBAs, PSTs, personal trading, gifts and entertainment, conflicts of interest, and electronic communications surveillance.
  • •Strong analytical skills, sound judgment, and the ability to manage high volumes with careful documentation and communication.
Experience:3+ yearsBroker-dealer complianceFinancial services
Education:Bachelor's
Skills:Attention to detailAnalytical skillsSound judgmentWritten communicationVerbal communicationAbility to manage deadlines
Certifications:Series 7Series 24Series 79Series 82
Tech Stack:FINRA GatewayCRDForm U4Form U5Electronic communications surveillance

Company Brief

Finalis
Provides a regulatory affiliation, compliance back-office, and deal-management platform that enables private market dealmakers, investment bankers, and placement agents to execute transactions compliantly and collaborate via a marketplace and hub.
Industry: RegTech
Company Size: Medium (51 to 250 employees)
Growth: Early Stage Startup
Valuation: USD 50M to 100M
Funding: Seed
Headquarters: San Francisco, United States
Founded: 2020
Glassdoor
Glassdoor: 2.8
WebsiteLinkedInGlassdoor