Senior Compliance Associate, Branch Inspections

This Jobot Job is hosted by: Dawit DemozAre you a fit? Easy Apply now by clicking the "Quick Apply" buttonand sending us your resume.Salary: $95,000 - $115,000 per year

A bit about us:

We are a global financial services organization delivering market access, risk management, trading, and advisory solutions across a diverse range of asset classes and industries. Our team partners with institutional, commercial, and individual clients to provide insights, technology, and execution capabilities that help navigate complex markets and drive informed decision-making.

With a strong focus on innovation, collaboration, and client service, we operate in a fast-paced environment where expertise, accountability, and problem-solving are highly valued. We are committed to fostering a culture of continuous growth, professional development, and operational excellence while empowering employees to make a meaningful impact.

Why join us?

Join a dynamic environment where you’ll contribute to a wide range of business-critical initiatives that help drive organizational success. From supporting strategic initiatives and operational improvements to enhancing internal processes and cross-functional collaboration, you’ll have the opportunity to make a meaningful impact, streamline workflows, and help implement solutions that improve overall business performance.

Job Details

Responsibilities

Conduct scheduled and unscheduled branch office inspections across all registered and non-registered office locations, for multiple broker dealers and RIAs, both onsite and remoteReview branch operations, sales practices, supervisory procedures, and recordkeeping for compliance with FINRA, SEC, and other applicable regulationsProperly document findings, recommendations, and required corrective actions.Prepare detailed examination reports outlining findings, recommendations, and required corrective actions.Assist in the development and ongoing maintenance of comprehensive Written Supervisory Procedures (WSPs).Conduct assigned supervisory control testing and document results.Interpret and apply relevant securities laws and regulations related to the role’s responsibilities.Provide guidance, education, and training firm employees, representatives, and business units on regulatory changes, compliance matters, internal policies, and industry best practices.Prepare detailed examination reports outlining findings, recommendations, and required corrective actions.Support responses to regulatory inquiries, examinations, and investigations as needed.Foster collaborative and professional relationships with business partners.Participate in compliance-related and cross-functional projects as assigned.Perform other duties and responsibilities as assigned by management.

Qualifications

To land this role you will need:Minimum of 5 years of experience in a compliance-related role within the financial services industry.Must possess FINRA Series 7 and Series 24 licenses.Broad understanding of broker-dealer operations and applicable regulatory frameworks.Strong knowledge of FINRA, SEC, and other regulatory requirementsDemonstrated analytical, problem-solving, and investigative skills.Strong leadership capabilities and sound decision-making judgment.Excellent verbal and written communication skills.Proficiency in Microsoft Office Suite, particularly Excel.Ability to build and maintain positive, productive relationships across departments and with external stakeholders.Strong organizational skills with the ability to manage multiple priorities in a fast-paced environment.Must uphold and model a high standard of professionalism and ethical conduct.Full professional fluency in English required.

What makes you stand out:Prior experience as a FINRA examiner or similar regulatory role a plus.Institutional broker-dealer experience with a strong understanding of industry practices.In-depth knowledge of equity and fixed income trading, including market structure and execution.Hands-on experience with clearing and prime brokerage operations.Professional working proficiency in Spanish preferred

Education / Certification Requirements:Bachelor’s degree in management, Finance, or a related field.

Interested in hearing more? Easy Apply now by clicking the "Quick Apply" button.

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