Regulatory Compliance Analyst: FINRA & SEC Focus

BBAE Holdings LLC; Plano (TX); On-site; USD 65,000 - 90,000; Full time

Benefits offered by this job

None

Job summary

BBAE Holdings LLC in Plano, TX is seeking a Compliance Analyst to monitor daily reports, evaluate alerts, and support regulatory programs across FINRA and SEC requirements. You will review risk-based transactions and maintain documentation in a fast-paced, confidential environment.

Success requires strong analytical skills, meticulous attention to detail, and the ability to coordinate across Compliance and Operations to resolve issues while meeting deadlines.

Qualifications

• Bachelor's degree in finance, economics, business administration, or a related field is required or preferred.
• FINRA Series 7 license is required or obtainable within the role's timeframe.
• Strong analytical and problem-solving skills with the ability to review compliance reports and identify escalation needs.

Responsibilities

• Perform daily reviews of compliance reports, alerts, and exceptions and elevate issues to Compliance or Operations.
• Assist with Liveness Check reviews and evaluate results per procedures.
• Cross-train as backup for Trade Surveillance activities and assist with investigations.

Skills

Analytical skills

Attention to detail

Communication skills

Multi-tasking

Confidentiality handling

Education

Bachelor's degree in finance, economics, business administration, or related field

FINRA Series 7 license (preferred/required)

Job description

BBAE Holdings LLC in Plano, TX is seeking a Compliance Analyst to monitor daily reports, evaluate alerts, and support regulatory programs across FINRA and SEC requirements. You will review risk-based transactions and maintain documentation in a fast-paced, confidential environment.

Success requires strong analytical skills, meticulous attention to detail, and the ability to coordinate across Compliance and Operations to resolve issues while meeting deadlines.