Compliance Analyst / Supervision Principal

Cornerstone staffing; Des Moines (IA); On-site; USD 100,000 - 120,000; Full time

Job summary

Cornerstone Staffing in Des Moines, IA seeks a Compliance Analyst – Supervision to shape and oversee a broker-dealer and investment adviser compliance program. You will supervise registered reps and IARs, review activities, and help maintain regulatory accountability.

Lead the development of WSPs and training materials, support SEC and FINRA compliance testing, and collaborate across teams on supervisory initiatives to strengthen risk management.

Qualifications

• Active FINRA SIE, Series 7, and Series 24 registrations required.
• Ability to obtain Series 4 and Series 53 registrations within 12 months.
• Minimum 5 years of broker-dealer and investment adviser operations, supervision, or regulatory compliance.
• Bachelor's degree or equivalent combination of education and relevant experience; strong written and verbal communication.

Responsibilities

• Supervise registered representatives and investment adviser representatives, identifying regulatory risks.
• Review and approve correspondence, trade blotters, OBAs, PSTs, and trading activity.
• Develop and maintain WSPs, desktop procedures, compliance manuals; report to the CCO.
• Support testing under SEC Rule 206(4)-7 and FINRA Rule 3120, including policy updates.
• Develop compliance training materials and track completion; collaborate on supervisory initiatives.

Skills

SIE

Series 7

Series 24

Series 4

Series 53

Regulatory compliance

Supervision of reps

Education

Bachelor's degree or equivalent combination of education and relevant experience

Tools

Pershing

Charles Schwab

Fidelity

Microsoft Office

Job description

Compliance Analyst / Supervision Principal (BBBH8472) Des Moines, Iowa

Salary: USD100000 - USD120000 per year

COMPLIANCE ANALYST – SUPERVISION

ROLE IMPACT

Join a growing financial services firm as a Compliance Analyst – Supervision and help shape a differentiated broker-dealer and investment adviser compliance program. This ground-floor opportunity offers direct exposure to experienced leadership and the ability to influence supervisory processes, regulatory compliance, and risk management. You will oversee registered representatives and investment adviser representatives (IARs), serve as a key home office resource, and help maintain a strong culture of regulatory accountability.

KEY RESPONSIBILITIES

• Supervise registered representatives and investment adviser representatives, identifying, monitoring, and escalating sales practice concerns, conflicts of interest, and other regulatory risks.
• Review and approve written and electronic correspondence, trade blotters, outside business activities (OBAs), private securities transactions (PSTs), political contributions, personal securities accounts, and trading activity.
• Develop and maintain Written Supervisory Procedures (WSPs), desktop procedures, compliance manuals, and reference guides while providing supervisory reports to the Chief Compliance Officer (CCO).
• Support broker-dealer and registered investment adviser (RIA) compliance testing under SEC Rule 206(4)-7 and FINRA Rule 3120, including regulatory change management and policy updates.
• Develop compliance training materials, track completion, monitor outside brokerage account activity, and collaborate across teams on supervisory initiatives and special projects.

MINIMUM QUALIFICATIONS

• Active FINRA Securities Industry Essentials (SIE), Series 7, and Series 24 registrations required; ability to obtain Series 4 and Series 53 registrations within 12 months.
• Minimum 5 years of experience in broker-dealer and investment adviser operations, supervision, or regulatory compliance, including knowledge of FINRA and SEC supervisory requirements.
• Bachelor's degree or equivalent combination of education and relevant experience; strong written and verbal communication, sound judgment, integrity, and ability to manage multiple priorities independently.

CORE TOOLS & SYSTEMS

• FINRA and SEC regulatory compliance frameworks
• Written Supervisory Procedures (WSPs) and compliance monitoring systems
• Trade surveillance, correspondence review, and brokerage account monitoring
• Microsoft Office: Excel, Word, PowerPoint, and Outlook
• Broker-dealer and RIA operations platforms

PREFERRED SKILLS

• Experience with Pershing, Charles Schwab, and Fidelity brokerage or custodial platforms.
• Familiarity with variable annuities, variable life insurance products, and related supervisory requirements.
• Collaborative, proactive approach with an interest in helping build and improve compliance programs within a growing financial services organization.