Compliance Analyst

Compliance Analyst

Our client, a tech‑driven financial services organization, is seeking a skilled and self‑motivated Compliance Analyst to serve as a key Subject Matter Expert (SME) on regulatory matters. This individual contributor role partners closely with internal teams, leads compliance discussions, and supports the development of policies, training, and governance processes. The position reports to the Chief Compliance Officer.

Key Responsibilities

• Serve as an SME on compliance requirements related to variable products and marketing content governed by FINRA and state regulators.

• Lead conversations with business partners to identify risks, resolve complex compliance questions, and recommend improvements.

• Monitor FINRA governance requirements and advise leadership on necessary updates.

• Contribute to compliance training programs and enhancements to policies and procedures.

• Track developments in AML, fraud, and consumer complaint trends.

• Prepare and review complex non‑financial regulatory filings, including FINRA submissions and state‑level reports.

• Respond to regulatory inquiries, data calls, and complaints.

• Participate in internal audits and compliance reviews.

• Draft and maintain compliance policies, procedures, and reporting mechanisms across all applicable jurisdictions.

Compensation & Benefits

• Base salary: $85,000-$100,000, depending on experience

• Full‑time role with comprehensive benefits package

Qualifications

• Bachelor's degree in Business, Risk Management, or a related field (or equivalent experience).

• 5+ years of compliance experience within financial services.

• Strong understanding of regulatory requirements for fixed and variable annuity products, plus SEC and FINRA rules.

• Professional designation or progress toward one (ACS, AIRC, FLMI, CAMS, etc.).

• Series 6 or 7 registration, or ability to obtain within six months.

• Ability to work independently, manage multiple priorities, and maintain high ethical standards.

• Proficiency with Jira, Confluence, and Microsoft Office.

• Experience analyzing complex data sources and drafting regulatory filings.