Compliance Analyst – Branch Exams

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Compliance Analyst examining branch offices for compliance with FINRA, SEC, and State regulations. Fully remote role requiring ability to travel, reporting to an Audit Manager.

Posted 5/13/2026full-timeRemote • Texas • 🇺🇸 United StatesMid-LevelSenior💰 $64,000 - $94,000 per yearWebsite

About the role

Key responsibilities & impact

Conduct exams of securities brokerage and advisory branch offices (up to 50% domestic travel)
Investigate potential audit exceptions
Conduct opening and closing interviews/meetings with branch personnel
Prepare reports
Collaborate with the team members and Audit Managers to streamline processes and create efficiencies for the department

Requirements

What you’ll need

Series 7, 24, and 66 (or 63 and 65) exams/licenses
Minimum of 5 years of related experience in auditing/examining, broker-dealer operations and/or securities/advisory compliance
Ability to work in a self-directed environment working remotely from your primary residence
Strong written and verbal communication skills
PC skills must include familiarity with MS Office, including proficiency in MS Word, Excel, Teams and Outlook.

Benefits

Comp & perks

Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
Easy access to mental health benefits to meet our team members and their families where they are.
20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
Paid parental leave to support all team members with birth, adoption, and foster.
Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

auditingexaminingbroker-dealer operationssecurities complianceadvisory compliancereport preparation

Soft Skills

strong written communicationstrong verbal communicationself-directed workcollaborationprocess improvement

Certifications

Series 7Series 24Series 66Series 63Series 65