Senior Compliance Analyst, FINRA & SEC Compliance

American Beacon Partners; Irving (TX); Hybrid; USD 90,000 - 150,000; Full time

Job summary

American Beacon Partners is seeking a Sr. Analyst, Compliance to help administer the firm's FINRA-member broker-dealer program and support affiliated advisers.

The role collaborates with the Chief Compliance Officer to implement regulatory requirements across the firm’s funds and distribution activities. The ideal candidate has 5+ years of broker-dealer or asset management compliance experience, FINRA Series 6/7, and strong communication skills.

Qualifications

• Bachelor's degree or commensurate work experience
• 5+ years of compliance experience at a broker-dealer, asset management firm, investment adviser or regulatory agency
• FINRA Series 6 or Series 7 license
• Working knowledge of FINRA rules and the federal securities laws as they apply to broker-dealers and to the marketing of registered investment companies
• Exceptional proofreading skills and strong attention to detail
• Proficiency in Microsoft Office 365
• Ability to work independently, prioritize effectively, and manage multiple deliverables and deadlines
• Strong written and verbal communication skills, with the ability to collaborate effectively with team members

Responsibilities

• Marketing Material Review: Review and approve marketing materials, sales literature and promotional activities for compliance with FINRA and SEC rules.
• Broker-Dealer Compliance Program: Develop and maintain policies and procedures to ensure broker-dealer activities comply with SEC/FINRA/state rules.
• Registration & Licensing: Assist with FINRA registration, licensing and continuing education requirements for the broker-dealer and its representatives.
• Registered Representative Support: Provide day-to-day compliance support to registered representatives, including review of correspondence and activities.
• Disclosure Document Review: Review fund registration statements, prospectuses and shareholder communications for regulatory consistency.
• Books & Records: Maintain accurate books and monitor SEC and FINRA retention requirements.
• Regulatory Change Management: Support assessments of new rules and assist with implementation.
• Internal Training: Develop and deliver periodic compliance training and annual meetings.
• Special Projects: Participate in cross-functional initiatives and evaluate new compliance tech.

Skills

5+ years compliance experience

FINRA rules knowledge

Strong written and verbal skills

Team collaboration

Attention to detail

Education

Bachelor's degree

Tools

FINRA Series 6/7 license

Job description

American Beacon Partners is seeking a Sr. Analyst, Compliance to help administer the firm's FINRA-member broker-dealer program and support affiliated advisers.

The role collaborates with the Chief Compliance Officer to implement regulatory requirements across the firm’s funds and distribution activities. The ideal candidate has 5+ years of broker-dealer or asset management compliance experience, FINRA Series 6/7, and strong communication skills.