Regulatory Compliance & Risk Analyst

Wenna Holdings Inc.; Minnesota; On-site; USD 90,000 - 120,000; Full time

Job summary

Wenna Holdings Inc. seeks a Compliance & Risk Specialist to protect integrity and regulatory adherence across trading activities. You will monitor surveillance, assess risks, and help maintain our compliance infrastructure.

The role requires a solid grasp of SEC/FINRA frameworks, strong analytical skills, and the ability to translate complex rules into practical controls. You will train staff and support audit processes within a financial institution.

Qualifications

• Bachelor’s degree in Law, Finance, or Business Administration.
• 3-5 years of experience in compliance or risk management within a financial institution.
• Deep knowledge of SEC, FINRA, and other regulatory frameworks.
• Strong analytical skills and the ability to interpret complex regulations.

Responsibilities

• Conduct daily surveillance of trading activities to ensure regulatory compliance.
• Assist in the development and implementation of risk management policies.
• Prepare and submit required regulatory filings and reports.
• Perform internal audits and risk assessments across various business units.
• Educate staff on compliance protocols and industry best practices.

Skills

Analytical skills

Interpreting regulations

Ethical standards

Education

Bachelor’s degree in Law, Finance, or Business Administration

JD or relevant compliance certifications (CRCP, CAMS)

Tools

Automated compliance surveillance systems

Quantitative risk modeling

Job description

Wenna Holdings Inc. seeks a Compliance & Risk Specialist to protect integrity and regulatory adherence across trading activities. You will monitor surveillance, assess risks, and help maintain our compliance infrastructure.

The role requires a solid grasp of SEC/FINRA frameworks, strong analytical skills, and the ability to translate complex rules into practical controls. You will train staff and support audit processes within a financial institution.