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Senior Compliance Business Oversight Analyst
TD. Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable state and federal securities laws .
Posted 5/22/2026full-timeMount Laurel • New Jersey • 🇺🇸 United StatesSenior💰 $72,280 - $117,520 per yearWebsite
About the role
Key responsibilities & impact- Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable state and federal securities laws
- Assist in regulatory requests and exams, and help manage responses to State, FINRA, and SEC inquiries
- Help mitigate risk and ensure the firm meets regulatory obligations
- Develop and prepare compliance reports on risks and trends
- Monitor changes in applicable laws and regulations and advise senior management on potential impacts and required actions
Requirements
What you’ll need- Undergraduate degree or equivalent work experience
- 7+ years of experience
- Knowledge of current and emerging trends, including broker-dealer and RIA regulatory expectations and standards
- Skill in using computer applications including MS Office Suite, including PowerPoint, Excel, OneDrive, Teams
- Experience conducting annual compliance assessments under 206-4(7) and FINRA 3130
Benefits
Comp & perks- Health insurance
- 401(k) matching
- Flexible work hours
- Paid time off
- Career development
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
compliance reportingregulatory assessmentsrisk mitigationregulatory compliancebroker-dealer regulationsRIA regulatory standardsFINRA 3130206-4(7) compliance
Soft Skills
advisory skillscommunication skillsorganizational skillsanalytical skills