Principal Compliance Analyst – Broker-Dealer & RIA

Parsonex; Englewood (CO); On-site; USD 85,000 - 120,000; Full time

Job summary

Parsonex Enterprises, Inc. in Englewood, Colorado seeks an experienced, licensed Compliance Analyst to support its affiliated firms—Parsonex Securities, Inc.

and Parsonex Advisory Services, Inc.—from our office in Englewood. This hands-on role operates under the Chief Compliance Officer with principal-level approval authority and a technology-enabled compliance program to ensure regulatory readiness and operational efficiency.

Qualifications

• Direct experience in broker-dealer and/or RIA compliance and operations.
• Strong understanding of regulatory requirements and compliance processes.
• Client service experience is preferred.

Responsibilities

• Prepare and file regulatory forms and amendments.
• Monitor CRD/IARD record accuracy and onboarding workflows.
• Provide principal approval for new advisory and brokerage accounts.
• Review client communications for compliance with FINRA/SEC rules.
• Maintain compliance calendar and supervise documentation.

Skills

Independent judgment

Documentation discipline

Project management

Technical problem solving

Interpersonal skills

Job description

Parsonex Enterprises, Inc. in Englewood, Colorado seeks an experienced, licensed Compliance Analyst to support its affiliated firms—Parsonex Securities, Inc.

and Parsonex Advisory Services, Inc.—from our office in Englewood. This hands-on role operates under the Chief Compliance Officer with principal-level approval authority and a technology-enabled compliance program to ensure regulatory readiness and operational efficiency.