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Cnect

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Compliance Analyst – Branch Exams

ComplianceComplianceOtherRemoteSeniorTeam 51-200H1B SponsorCompany SiteLinkedIn

Location

United States

Posted

124 days ago

Salary

$75K - $90K / year

Seniority

Senior

Bachelor Degree5 yrs expEnglish

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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