Brokerage Compliance Analyst

Dexian; Shoreview (MN); Vor Ort; USD 70.000 - 90.000; Vollzeit

Zusammenfassung

Dexian seeks a Brokerage Compliance Analyst to support regulatory compliance, risk management, and operational controls within a brokerage environment. You will research and review processes, analyze complaints and compliance matters, identify trends, and partner with internal teams to ensure adherence to regulations and company policies.

Strong analytical and communication skills required. This role requires independence in a fast-paced setting and collaboration with multiple stakeholders

Qualifikationen

• Active FINRA Series 7 license required.
• 2+ years of experience in brokerage operations, compliance, risk management, quality assurance, or related fields.
• Experience reviewing brokerage complaints or conducting compliance-related research preferred.
• Strong analytical and critical thinking skills with the ability to identify trends and recommend solutions.
• Excellent written and verbal communication skills.
• Ability to work independently in a fast-paced, detail-oriented environment.

Aufgaben

• Conduct research, analysis, and documentation related to compliance, regulatory, risk, and control activities.
• Review brokerage complaints, operational processes, and business procedures to identify issues, trends, and improvement opportunities.
• Analyze findings and present recommendations to support risk mitigation and process enhancements.
• Partner with compliance, operations, risk, and business teams to ensure consistent and accurate outcomes.
• Support internal initiatives focused on regulatory adherence, quality assurance, and operational effectiveness.
• Maintain knowledge of industry regulations and brokerage compliance requirements.

Kenntnisse

Active FINRA Series 7 license

Analytical thinking

Communication skills

Independent work

Jobbeschreibung

We are seeking a Brokerage Compliance Analyst to support regulatory compliance, risk management, and operational control activities within a brokerage environment. This role involves researching and reviewing business processes, analyzing customer complaint and compliance-related matters, identifying trends, and partnering with internal teams to ensure adherence to regulatory requirements and company policies.

Responsibilities

• Conduct research, analysis, and documentation related to compliance, regulatory, risk, and control activities.
• Review brokerage complaints, operational processes, and business procedures to identify issues, trends, and improvement opportunities.
• Analyze findings and present recommendations to support risk mitigation and process enhancements.
• Partner with compliance, operations, risk, and business teams to ensure consistent and accurate outcomes.
• Support internal initiatives focused on regulatory adherence, quality assurance, and operational effectiveness.
• Maintain knowledge of industry regulations and brokerage compliance requirements.

Qualifications

• Active FINRA Series 7 license required.
• 2+ years of experience in brokerage operations, compliance, risk management, quality assurance, business controls, or related fields.
• Experience reviewing brokerage complaints or conducting compliance-related research preferred.
• Strong analytical and critical thinking skills with the ability to identify trends and recommend solutions.
• Excellent written and verbal communication skills.
• Ability to work independently in a fast-paced, detail-oriented environment.
• Experience collaborating with multiple stakeholders across business functions.

Dexian stands at the forefront of Talent + Technology solutions with a presence spanning more than 70 locations worldwide and a team exceeding 10,000 professionals. As one of the largest technology and professional staffing companies and one of the largest minority-owned staffing companies in the United States, Dexian combines over 30 years of industry expertise with cutting-edge technologies to deliver comprehensive global services and support.
Dexian connects the right talent and the right technology with the right organizations to deliver trajectory-changing results that help everyone achieve their ambitions and goals.To learn more, please visit https://dexian.com/.
Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.