Compliance Analyst – Branch Exams
Cnect
full-time
Posted on:
Location Type: Remote
Location: United States
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Salary
💰 $75,000 - $90,000 per year
About the role
- 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
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
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
compliance examinationsaudit reportinginvestigation of audit exceptionsregulatory knowledgebroker-dealer operationssecurities complianceinvestment advisory compliance
Soft Skills
strong written communicationstrong verbal communicationleadershipcollaborationindependent workprofessionalismsound judgment
Certifications
Series 7 licenseSeries 24 licenseSeries 66 licenseSeries 63 licenseSeries 65 license