ABOUT THIS ROLEApex is seeking a seasoned
Senior Compliance Analyst (Regulatory) to assist in the oversight and management of our compliance programs related to Broker/Dealer operations. This role reports directly to the Sr. Manager, Compliance (Regulatory), and is integral in maintaining high compliance standards in accordance with FINRA, SEC, and other regulatory body requirements. The Senior Compliance Analyst (Regulatory) will be responsible for upholding robust compliance policies, participating in regulatory examinations, and ensuring that our business processes reflect the utmost integrity and adherence to legal and regulatory frameworks.
Key Responsibilities:- Regulatory Inquiries and Examinations: Investigate and respond to regulatory inquiries, and actively participate in regulatory examinations, ensuring all responses are timely, accurate, and comprehensive.
- Policy and Procedure Oversight: Maintain and enhance the firm's compliance policies and procedures, including written supervisory procedures and compliance manuals, to ensure they are comprehensive, updated, and reflective of the firm's current business practices.
- Compliance Training and Support: Assist in the training and development of the back-office staff on compliance-related issues, enabling them to effectively analyze and resolve compliance matters.
- Surveillance and Reporting: Manage and enhance existing compliance surveillance systems, forecast needs for future enhancements, and prepare detailed management reports on the progress and status of these initiatives.
- General Compliance Tasks: Oversee the maintenance of required books and records and review communications and advertisements to ensure compliance with regulatory requirements.
Education and Experience:- Bachelor's degree in Law, Finance, Business Administration, or a related field preferred
- Minimum of 5 years in compliance roles focused on Broker/Dealer operations, with a deep understanding of relevant regulations and compliance best practices.
Preferred Qualifications:- Securities Licenses: Holding Series 7 and 24 licenses is highly preferred. Candidates without these licenses should be willing to obtain them within a set timeframe.
- Project Management Skills: Demonstrated ability to manage multiple projects with stringent deadlines and to maintain high-quality standards in a dynamic regulatory environment.
Work Environment:- Analytical Skills: Excellent ability to analyze complex regulatory requirements and implement effective compliance strategies.
- Interpersonal Skills: Superior relationship-building and communication skills, with the ability to collaborate and influence across all organizational levels with senior leaders and staff to review and address compliance matters while maintaining a professional, consultative presence.
- Problem Solving: Strong problem-solving skills, with the capacity to address and manage compliance issues proactively.
- Detail-Oriented: Exceptional attention to detail and the capacity to work on intricate matters with precision.
- Organizational Skills: Robust organizational and time management abilities, essential for managing multiple tasks and priorities in a high-pressure environment.
- Technical Proficiency: Proficient in office software and AI applications, with enthusiasm for leveraging AI to automate routine tasks, advance firm initiatives, manage electronic records and compliance monitoring tools and optimize workflows-freeing time for high-value strategic work and client service.
- Resource Allocation: 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.
- Professional Standards: 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.
#compliance #mid-senior #fulltime #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.
