Compliance Analyst – Broker Dealer

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Compliance Analyst in Broker Dealer compliance team ensuring regulatory standards for new applicants are met. Conduct reviews, identify risks, and collaborate with partners to maintain compliance.

Posted 5/14/2026full-timeDallas • Texas • 🇺🇸 United StatesMid-LevelSenior💰 $66,000 - $95,000 per yearWebsite

About the role

Key responsibilities & impact

Conduct thorough reviews of each applicant, including background reports, internet searches, disclosure history, and all other available information sources.
Identify regulatory concerns, issues prohibited by firm policy, and other risk factors that may impact the applicant’s affiliation.
Develop and submit targeted questions to stakeholders to clarify discrepancies, address concerns, and obtain missing information.
Analyze responses to determine overall risk level and recommend appropriate next steps.
Prepare Outside Business Activity (OBA) acknowledgment letters and generate detailed regulatory filing instructions.
Review Office Sharing arrangements for new applicants to ensure alignment with regulatory and firm requirements.
Apply strong critical-thinking and sound judgment when evaluating complex information or ambiguous situations.
Collaborate with external and internal partners to ensure regulatory and firm expectations and requirements are clearly communicated and consistently met.
Document findings, decisions, and rationale in accordance with firm policies and regulatory standards.
Provide secondary review for regulatory responses to ensure accuracy, completeness, and consistency.
Identify and maintain key risk areas to support the development and enhancement of compliance training and improvements to systems related to onboarding review.
Deliver occasional training to internal and external partners on compliance topics related to onboarding and applicant review.
Input cases, documentation, and decisions into firm-approved tools and systems with accuracy and timeliness.
Stay informed on new regulations, policies, technologies, and associated compliance implications to support proactive risk identification.
Participate in project work as assigned to support department initiatives and enhance compliance processes, included but not limited to large recruiting deals and acquisitions.
Assist with phone calls received through the Compliance Inbox.
Respond to and address general inquiries from external and internal partners to ensure compliance with applicable laws, regulations, and firm policies and procedures.

Requirements

What you’ll need

1-3 years of BD Compliance experience
FINRA Series 7 & 24 required
HS Degree at minimum, with Bachelor's Degree preferred.
Strong understanding of FINRA, SEC, and state regulatory frameworks; ability to interpret and apply industry rules, regulatory guidance, and firm policies.
Ability to evaluate complex information, identify patterns or inconsistencies, and make accurate, risk-based determinations.
Consistently ensures accuracy, completeness, and precision when reviewing and documenting information.
Demonstrates sound judgment and logical reasoning when assessing ambiguous situations or competing information.
Delivers clear, concise, and professional written and verbal communication to stakeholders at all levels of the organization.
Works effectively with cross-functional partners to resolve issues, share information, and support a smooth and compliant onboarding process.
Manages high volumes, shifting priorities, and changing requirements while maintaining quality and meeting deadlines.
Upholds strict standards for handling sensitive information and consistently acts with professionalism and ethical responsibility.
Demonstrates strong working knowledge of Microsoft Office (Excel, Word, PowerPoint) and familiarity with Salesforce (preferred).
Builds positive, respectful relationships; fosters trust and open communication with internal partners and field personnel.

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

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

BD Complianceregulatory analysisrisk assessmentdocument reviewcompliance trainingdata evaluationregulatory filingcritical thinkingjudgmentpattern recognition

Soft Skills

communicationcollaborationproblem-solvingattention to detailprofessionalismethical responsibilitytime managementrelationship buildinglogical reasoningadaptability

Certifications

FINRA Series 7FINRA Series 24