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Compliance Analyst – Branch Exams
Location
United States
Posted
124 days ago
Salary
$75K - $90K / year
Seniority
Senior
Job Description
Compliance Analyst – Branch Exams
Cnect
• 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
Job Requirements
- 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
Benefits
- Competitive performance-based bonus
- Periodic travel required for compliance examinations
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