Broker-Dealer Compliance Analyst
Finalis
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Benefits offered by this job
Job summary
Finalis is the leading platform enabling independent and boutique investment banking firms to operate legally and compliantly. The Broker-Dealer Compliance Specialist helps oversee the supervisory and compliance program from onboarding through ongoing monitoring and supervision.
This role is ideal for someone who is detail-oriented, organized, and comfortable exercising sound judgment. The strongest candidate will manage a high volume of matters, identify regulatory concerns, and escalate as
Qualifications
- Bachelor’s degree or equivalent professional experience.
- 3+ years of experience in broker-dealer compliance, registration, supervision, or a related financial-services role.
- Working knowledge of FINRA rules and broker-dealer supervisory requirements applicable to registered representatives.
- Experience with or familiarity with Form U4/U5, FINRA Gateway/CRD, OBAs, PSTs, personal trading, gifts and entertainment, conflicts of interest, and electronic communications surveillance.
- Strong analytical skills, sound judgment, and excellent attention to detail.
- Ability to identify matters requiring additional diligence or escalation and clearly document compliance decisions.
- Strong written and verbal communication skills and comfort working directly with registered representatives.
- Ability to manage a high volume of matters and competing deadlines in a fast-paced environment.
Responsibilities
- Review prospective registered representatives’ backgrounds, Form U4 information, registration history, disclosure events, and other onboarding materials.
- Support Form U4 and U5 filings, amendments, licensing and registration requirements, and other FINRA Gateway/CRD processes.
- Coordinate registered representative and firm registration matters with state securities regulators, including responding to state registration questions and related regulatory inquiries.
- Monitor reportable events and ensure required regulatory filings, disclosures, attestations, and training are completed accurately and timely.
- Review Outside Business Activity (OBA) disclosures and Private Securities Transaction (PST) requests, including potential conflicts, compensation arrangements, and supervisory considerations.
- Review gifts and entertainment expenses, political contributions, and other registered-person activities subject to applicable regulatory requirements and Finalis policies.
- Administer and monitor registered representative personal securities accounts and personal trading requirements.
- Identify and elevate potential conflicts of interest, material nonpublic information (MNPI), insider trading, information-barrier, or restricted-list concerns.
- Conduct risk-based surveillance of email and other approved electronic business communications.
- Identify and elaborate potential unapproved activities, customer complaints, undisclosed conflicts, inappropriate communications, off-channel communications, or other potential regulatory or supervisory concerns.
- Conduct follow-up reviews and investigations and clearly document conclusions, escalations, and supervisory decisions.
- Support the review and escalation of customer complaints, regulatory inquiries, disclosure events, and other registered representative conduct matters.
- Assist with responses to FINRA, SEC, state securities regulators, and other regulatory authorities, including gathering information and coordinating responses to regulatory requests and inquiries.
- Work directly with registered representatives to obtain information, resolve compliance matters, and communicate applicable requirements.
- Assist with annual and periodic certifications, questionnaires, attestations, and other supervisory processes.
- Maintain accurate and complete compliance books and records.
- Support regulatory examinations, internal compliance testing, audits, and other Compliance initiatives.
- Stay current on FINRA rules, regulatory guidance, and industry developments affecting registered representatives and broker-dealer supervision.
Skills
Education
Tools
Job description
Finalis is the leading platform enabling independent and boutique investment banking firms to operate legally and compliantly. The firm provides regulatory affiliation and compliance infrastructure supporting private market transactions, including M&A, capital raising, private placements, secondary transactions, and alternative investments.
The Broker-Dealer Compliance Specialist supports Finalis’s supervisory and compliance program throughout the lifecycle of our registered representatives, from onboarding and registration through ongoing monitoring and supervision.
This role is ideal for someone who is detail-oriented, organized, and comfortable exercising sound judgment. The strongest candidate will be able to manage a high volume of matters, identify potential regulatory or supervisory concerns, ask appropriate follow-up questions, and distinguish routine requests from issues requiring deeper review or escalation.
Review prospective registered representatives’ backgrounds, Form U4 information, registration history, disclosure events, and other onboarding materials.
Support Form U4 and U5 filings, amendments, licensing and registration requirements, and other FINRA Gateway/CRD processes.
Coordinate registered representative and firm registration matters with state securities regulators, including responding to state registration questions and related regulatory inquiries.
Monitor reportable events and ensure required regulatory filings, disclosures, attestations, and training are completed accurately and timely.
Review Outside Business Activity (OBA) disclosures and Private Securities Transaction (PST) requests, including potential conflicts, compensation arrangements, and supervisory considerations.
Review gifts and entertainment expenses, political contributions, and other registered-person activities subject to applicable regulatory requirements and Finalis policies.
Administer and monitor registered representative personal securities accounts and personal trading requirements.
Identify and elevate potential conflicts of interest, material nonpublic information (MNPI), insider trading, information-barrier, or restricted-list concerns.
Conduct risk-based surveillance of email and other approved electronic business communications.
Identify and elaborate potential unapproved activities, customer complaints, undisclosed conflicts, inappropriate communications, off-channel communications, or other potential regulatory or supervisory concerns.
Conduct follow-up reviews and investigations and clearly document conclusions, escalations, and supervisory decisions.
Support the review and escalation of customer complaints, regulatory inquiries, disclosure events, and other registered representative conduct matters.
Assist with responses to FINRA, SEC, state securities regulators, and other regulatory authorities, including gathering information and coordinating responses to regulatory requests and inquiries.
Work directly with registered representatives to obtain information, resolve compliance matters, and communicate applicable requirements.
Assist with annual and periodic certifications, questionnaires, attestations, and other supervisory processes.
Maintain accurate and complete compliance books and records.
Support regulatory examinations, internal compliance testing, audits, and other Compliance initiatives.
Stay current on FINRA rules, regulatory guidance, and industry developments affecting registered representatives and broker-dealer supervision.
Bachelor’s degree or equivalent professional experience.
3+ years of experience in broker-dealer compliance, registration, supervision, surveillance, or a related financial-services role.
Working knowledge of FINRA rules and broker-dealer supervisory requirements applicable to registered representatives.
Experience with or familiarity with Form U4/U5, FINRA Gateway/CRD, OBAs, PSTs, personal trading, gifts and entertainment, conflicts of interest, and electronic communications surveillance.
Strong analytical skills, sound judgment, and excellent attention to detail.
Ability to identify matters requiring additional diligence or escalation and clearly document compliance decisions.
Strong written and verbal communication skills and comfort working directly with registered representatives.
Ability to manage a high volume of matters and competing deadlines in a fast-paced environment.
You currently hold, or have previously held, one or more relevant FINRA registrations, including the Series 7, 24, 79, and/or 82.
You have experience working within an investment banking, private placement, or independent broker-dealer environment.
You have experience reviewing complex OBA, PST, conflicts-of-interest, or registered-person disclosure matters.
You have experience with electronic communications surveillance, personal trading monitoring, or registered-person supervisory programs.
You have experience investigating potential compliance violations or registered representative conduct concerns.
You have experience supporting FINRA or SEC examinations or internal broker-dealer compliance testing.
100% Remote work
Generous Paid Time Off
Benefits Package
Paid Family Leave
Diverse and inclusive culture
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