Senior Compliance Analyst – Broker-Dealer (Hybrid)

Resolute Investment Managers; Irving (TX); Hybrid; USD 100,000 - 130,000; Full time

Benefits offered by this job

Hybrid work arrangement

Job summary

American Beacon Partners in Irving, Texas is seeking a Senior Compliance Analyst to support the broker-dealer and affiliated advisers' compliance programs. The role reports to the Chief Compliance Officer and collaborates with the team to implement regulatory controls and supervise adherence to securities laws.

The candidate will review marketing materials, assist with FINRA licensing, and help maintain records while supporting training, regulatory changes, and cross-functional initiatives in a

Qualifications

• Bachelor's degree or commensurate work experience is required.
• Proven ability to ensure accuracy and completeness in documentation and filings.
• Experience with broker-dealer or asset management compliance is preferred.
• Strong written and verbal communication skills are essential.
• Ability to manage multiple deliverables under tight timelines.
• Attention to detail and analytical reasoning are critical for this role.
• Familiarity with FINRA and SEC rules is a plus.
• Collaborative team player with a proactive compliance mindset.

Responsibilities

• Review marketing materials and promotional activities for FINRA/SEC compliance.
• Assist with FINRA registrations, licensing and continuing education requirements.
• Provide day-to-day compliance support to registered reps under supervision.
• Review fund registration statements and shareholder communications for regulatory alignment.
• Maintain books and records and monitor retention requirements.
• Support regulatory change assessments and implementation activities.
• Help develop and deliver periodic compliance training.
• Participate in cross-functional projects and new tech evaluations.

Skills

Strong written and verbal comms

Attention to detail

Project management

Independent work

Multitasking

Education

Bachelor's degree or commensurate experience

Tools

Microsoft Office 365

Job description

American Beacon Partners in Irving, Texas is seeking a Senior Compliance Analyst to support the broker-dealer and affiliated advisers' compliance programs. The role reports to the Chief Compliance Officer and collaborates with the team to implement regulatory controls and supervise adherence to securities laws.

The candidate will review marketing materials, assist with FINRA licensing, and help maintain records while supporting training, regulatory changes, and cross-functional initiatives in a