Compliance Analyst - Securities & Broker-Dealer

Colorado Financial Services Corporation; Centennial (CO); On-site; USD 60,000 - 80,000; Full time

Benefits offered by this job

401k profit sharing

PTO

Discretionary bonuses

Job summary

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

Qualifications

• 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.

Responsibilities

• 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.

Skills

Broker-Dealer compliance

Regulatory knowledge

Analytical skills

Communication skills

Attention to detail

Multi-tasking

Office software

Data reporting

Tools

Microsoft Office

Data reporting tools

Job description

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