ABOUT THIS ROLEOur Senior Compliance Analyst will join a rapidly growing organization focused on empowering innovation, growth, and efficiency.
We're looking for someone who:- Thinks strategically and is inquisitive - You are intellectually curious and love finding and solving challenges with creative and simple solutions. You find ways to get things done efficiently without sacrificing quality.
- Takes initiative and is a high performer - You are driven to be the best. You own tasks to the end and challenge yourself by setting goals, crushing them, and helping your teammates do the same.
- Have great communication skills- Not only are you articulate when verbally communicating but you can get the message through in a written format. You also provide alternatives for peers when there is no way possible to compromise regulation requirements.
- Values the power of the team - You work collaboratively and embrace new ideas and opinions to ensure the team succeeds. Your contributions are not limited to your assigned tasks.
- Investment Securities Experience - You are organized, understand investment terminology and regulatory requirements. You understand the importance of creating a culture of compliance by interacting with other departments to ensure the firm is compliant with FINRA requirements and maintaining firm integrity.
What you'll do all day:- Compliance liaison - Provide general regulatory and other compliance-related updates to ensure continued rule compliance for many business lines.
- Participate in continuous improvement projects with various teams - You will interact with multiple business units and stakeholders by providing guidance on day-to-day compliance functions to ensure ongoing awareness with regulatory updates and changes.
- Investigate regulatory inquires - One of your primary objectives will be to actively participate in responding to various types of regulatory inquiries and participating in regulatory examinations.
- Help the company continue to meet standards - You will be responsible for ensuring that applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect the sound business practices and processes.
A few reasons why you might love working here:- Our Compliance track record. We have an incredible Compliance track record. We foster a culture of Compliance throughout our firm.
- Our team is passionate and driven to succeed. We work as a team and build off of each other's knowledge and ideas. We encourage growth and give you a platform to succeed.
- You are open to change. We are not satisfied with the status-quo. We are continually changing and looking for someone who is looking to change with us.
- You will have genuine opportunities for growth. We care about your career goals and provide options for growth. If you are successful in a smaller firm, you are likely to be rewarded and recognized much faster than at a larger firm.
And a few reasons why you may not love us:- You do not like being challenged. Each situation may present something new and unknown, something exciting. You will need to find problems, solutions and accept new challenges. If you'd prefer to have your Manager's buy-in every step of the way, this is not a job for you.
- You don't like change. This is not a job for someone who likes 'predictable'. Our customers' needs are dynamic and can change rapidly, which means the work is dynamic. It's a fast-paced environment and you need to adapt accordingly. You won't be bored.
- You are not the collaborative type. We bring ideas to the table and we work together to solve these challenges. If you're looking solely to be an independent contributor, this might not be the right position for you.
The skills education and experience you will need to succeed: - Bachelor's degree and/or associate's degree plus equivalent combination of education, additional certification, and/or experience.
- Minimum of 5+ years of experience in the compliance functions of a broker-dealer. Correspondent Clearing experience strongly preferred.
- FINRA Series 7.
- Ability to successfully complete the Series 24 examination.
- In depth knowledge of applicable SEC and FINRA rules and able to interact with several SRO compliance counterparts on regulatory inquiries and examinations.
- Exceptional interpersonal and written communication skills.
- Highly motivated with capability to work with minimum supervision on a wide range of matters.
- Demonstrated ability to meet deadlines and extraordinary attention to detail.
- Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills.
- Demonstrated proficiency and enthusiasm for leveraging artificial intelligence tools and technologies to optimize workflow efficiency, automate routine administrative processes, and eliminate time-consuming manual tasks, thereby enabling greater focus on high-value strategic activities and client service delivery.
- Ability to exemplify exceptional professional standards and ethical conduct that inspires colleagues and stakeholders, serving as a role model through consistent demonstration of company values, proactive problem-solving, and unwavering commitment to excellence in all interactions and deliverables.
- Ability to exercise exceptional stewardship over all firm resources-including financial assets, technology systems, office facilities, and staff time-through sustainable practices that protect and enhance long-term organizational value.
#compliance #mid-senior #full-time #LI-MJ1 #APEX
Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.
Our RewardsWe offer a robust package of employee perks and benefits, including healthcare benefits (medical, dental and vision, EAP), competitive PTO, 401k match, parental leave, and HSA contribution match. We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits. At AFS, we offer a hybrid work schedule for most roles that allows employees to have the flexibility of working from home and one of our primary offices.
