Senior Compliance Analyst — Broker-Dealer & FINRA

Ambeacon; Irving (TX); Hybrid; USD 90,000 - 130,000; Full time

Job summary

American Beacon Partners, headquartered in Irving, Texas, seeks a Senior Compliance Analyst to join the Broker-Dealer compliance program. The role reports to the Chief Compliance Officer and supports compliance for Resolute Investment Distributors and affiliated advisers in accordance with applicable securities laws and FINRA rules.

Responsibilities include reviewing marketing materials, maintaining policies, registration/licensing support, and training.

Qualifications

• Bachelor’s degree or commensurate work experience.
• At least 5 years of compliance experience at a broker-dealer, asset management firm, investment adviser or regulatory agency.
• Knowledge of FINRA rules and federal securities laws as they apply to broker-dealers and marketing of registered investment companies.
• Exceptional proofreading skills and strong attention to detail.
• Proficiency in Microsoft Office 365.

Responsibilities

• Marketing Material Review: Review and approve marketing materials for compliance with FINRA/SEC rules; coordinate FINRA filings of retail communications, website updates, and social media content.
• Broker-Dealer Compliance Program: Assist in developing and maintaining policies and procedures to ensure SEC/FINRA compliance and state requirements.
• Registration & Licensing: Assist with FINRA registration, licensing and continuing education for the broker-dealer and its registered representatives.
• Registered Representative Support: Provide day-to-day compliance support, review of communications, outside business activities, gifts, and entertainment.
• Disclosure Document Review: Review fund registration statements and shareholder communications for regulatory consistency.
• Books & Records: Maintain accurate books and records and monitor SEC/FINRA retention requirements.
• Regulatory Change Management: Support assessments of new rules and implementation activities.
• Internal Training: Support periodic compliance training and annual meetings for registered representatives.
• Special Projects: Participate in cross-functional initiatives including new compliance tech and product analyses.

Skills

Attention to detail

Communication skills

Independent worker

Prioritization

Education

Bachelor's degree

Tools

Microsoft Office 365

Job description

American Beacon Partners, headquartered in Irving, Texas, seeks a Senior Compliance Analyst to join the Broker-Dealer compliance program. The role reports to the Chief Compliance Officer and supports compliance for Resolute Investment Distributors and affiliated advisers in accordance with applicable securities laws and FINRA rules.

Responsibilities include reviewing marketing materials, maintaining policies, registration/licensing support, and training.