Compliance Analyst

Colorado Financial Services Corporation; Centennial (CO); Vor Ort; USD 60.000 - 80.000; Vollzeit

Benefits dieser Stelle

401k profit sharing

PTO

Discretionary bonuses

Zusammenfassung

Colorado Financial Service Corporation in Centennial, CO, is seeking a Compliance Analyst for an on-site role. You will monitor and review broker-dealer activities to ensure adherence to SEC, FINRA, SIPC, and internal requirements, performing tasks such as email surveillance, transaction reviews, and monthly/annual reporting.

Your duties include supporting branch audits, archiving personal investment transactions, answering compliance questions, and participating in strategic initiatives and

Qualifikationen

• 3+ years of Broker-Dealer experience.
• Series 7 and 24 licensing required (Series 4, 65 or 66 appreciated).
• Strong regulatory compliance knowledge, including familiarity with SEC and FINRA rules.
• Demonstrated analytical skills for reviewing transactions, reports, and audit findings.
• Effective communication skills for working with internal teams, branch offices, and registered representatives.
• Foundational understanding of finance and broker-dealer operations.
• High attention to detail, sound judgment, and ability to manage multiple priorities in a regulated environment.
• Proficiency with standard office software and comfort working with data and reporting tools.

Aufgaben

• Assist in monitoring and review of email correspondence.
• Assist with review and approval of securities transactions.
• Review and maintain monthly and annual Registered Reps reports.
• Assist and coordinate with conduct of branch audits.
• Archive and review broker personal investment transactions (407 letter requirements).
• Address representative compliance, operational, and, product related questions.
• Participate in firm strategic initiatives and projects.
• Assist with Firm Element and Continuing Education Assignment and Training.

Kenntnisse

Broker-Dealer compliance

Regulatory knowledge

Analytical skills

Communication skills

Attention to detail

Multi-tasking

Office software

Data reporting

Tools

Microsoft Office

Data reporting tools

Jobbeschreibung

Company Description

Colorado Financial Service Corporation, based in Centennial, Colorado, is a nationally focused introducing broker-dealer registered with the U.S. Securities and Exchange Commission. The firm is a member of both the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Branch offices and registered representatives operate across the country, with a strong presence in Colorado. The organization offers a professional environment for individuals interested in compliance and financial services within a regulated, nationwide framework.

Role Description

The Compliance Analyst is a full-time, on-site role based in Centennial, CO. This position is responsible for monitoring and reviewing broker-dealer activities to ensure adherence to SEC, FINRA, SIPC, and internal compliance requirements. Day-to-day tasks include:

• Assist in the monitoring and review of email correspondence,
• Assist with review and approval of securities transactions,
• Review and maintain monthly and annual Registered Reps reports,
• Assist and coordinate with conduct of branch audits,
• Archive and review broker personal investment transactions (407 letter requirements),
• Address representative compliance, operational, and, product related questions,
• Participate in firm strategic initiatives and projects,
• Assist with Firm Element and Continuing Education Assignment and Training.

Qualifications

• Series 7 and 24 licensing (Series 4, 65 or 66 appreciated)
• Minimum of 3 years of Broker Dealer experience.
• Strong regulatory compliance knowledge, including familiarity with SEC and FINRA rules.
• Demonstrated analytical skills for reviewing transactions, reports, and audit findings.
• Effective communication skills for working with internal teams, branch offices, and registered representatives.
• Foundational understanding of finance and broker-dealer operations.
• High attention to detail, sound judgment, and ability to manage multiple priorities in a regulated environment.
• Proficiency with standard office software and comfort working with data and reporting tools.

What to Expect?

• The expected salary range for this particular position is $60,000-$80,000 commensurate on experience.
• 401k profit sharing plan.
• PTO.
• Position may be eligible to receive quarterly/annual discretionary bonuses based on company profits.