ComplyRight, Inc.

Wealth Management Compliance Analyst

ComplyRight, Inc.

full-time

Posted on:

Location Type: Hybrid

Location: Miami • Florida • United States

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About the role

  • Support the development, implementation, and maintenance of the Wealth Management’s compliance program in accordance with applicable state regulations.
  • Create, organize, and maintain compliance books and records.
  • Prepare, reconcile, and analyze discrepancies across compliance systems and forms, escalating items that require operational updates.
  • Prepare, update, and maintain compliance-related spreadsheets and reports, including licensed employee lists, registered representative documentation, and Outside Business Activities (OBA) records.
  • Support exception reporting, including account-level research, title matching, status validation, and documentation of findings.
  • Perform ongoing monitoring activities in line with written policies, ensuring required frequencies are met (monthly, quarterly, annually).
  • Collect, organize, and analyze large data sets and reports, including trade blotters, wire activity, SAR listings, account populations, and customer risk categories.
  • Support regulatory examinations, audits, and inquiries from regulators.
  • Coordinate and compile documentation for audits and regulatory reviews, ensuring completeness and accuracy across defined periods.
  • Prepare requested documentation, assist with responses to regulatory findings, and support remediation efforts.
  • Act as a liaison between Compliance, Operations, and third-party vendors to track open items, follow up on pending requests, and confirm completion of deliverables.
  • Conduct ongoing surveillance, testing, and monitoring of business activities to identify compliance risks, deficiencies, and control gaps.

Requirements

  • Bachelor’s degree in Business, Legal Studies, Political Science or a related field.
  • 3+ years of compliance experience in banking or financial industry.
  • Strong understanding of regulatory frameworks such as BSA/AML, KYC, and risk management.
  • High attention to detail in data validation and reconciliation.
  • Ability to manage multi-item regulatory requests under tight deadlines.
  • Proactive self-starter.
  • Must possess the ability to write formal reports, including recommendations.
  • Must have ability to interpret consumer protection regulations, identify, analyze and document compliance risks.
  • Must possess excellent organizational, interpersonal, time management, written and verbal communication skills.
  • Computer proficiency in MS Software (e.g. Excel, Word, and Outlook).
Benefits
  • Flexible work arrangements
Applicant Tracking System Keywords

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

Hard Skills & Tools
compliance program developmentdata analysisregulatory reportingexception reportingdata validationrisk managementcompliance monitoringdocumentation preparationaudit supportregulatory examination support
Soft Skills
attention to detailtime managementorganizational skillsinterpersonal skillswritten communicationverbal communicationproactive self-starterability to manage deadlinesanalytical skillsproblem-solving