Senior Compliance Analyst - Securities & Adviser Oversight

CreativeOne; Leawood (KS); On-site; USD 95,000 - 140,000; Full time

Job summary

CreativeOne is seeking a Sr. Compliance Analyst to support the Chief Compliance Officer across CreativeOne Securities and CreativeOne Wealth. The role emphasizes implementing controls, monitoring FINRA/SEC compliance, and coordinating a robust oversight program.

The ideal candidate will have 5–7 years of regulatory experience, FINRA licenses, and a strong ability to document and improve internal controls while guiding teams through complex regulatory requirements.

Qualifications

• Bachelor's degree or higher required in finance, business, or related field.
• FINRA licensing (Series 7/65/66/24) preferred or required.
• Minimum 5–7 years of compliance experience in broker-dealer or RIAs.

Responsibilities

• Supervise communications, trading and outside business activities of RRs and IARs.
• Lead branch exams planning and execution.
• Maintain data for regulatory reporting and inquiries.
• Perform testing for Advisers Act Rule 206(4)-7 and FINRA 3120/3130 controls.
• Review and update policies, procedures, and Codes of Ethics.
• Coordinate compliance training and internal questions across entities.

Skills

Strong work ethic

Adaptability

Communication

Organizational skills

Analytical skills

Project management

Internal controls

Regulatory knowledge

Education

Bachelor's degree in Finance/Related field

FINRA Series 7/65/66/24 licenses

Tools

Smarsh

MyComplianceOffice

Global Relay

RegEd

Job description

CreativeOne is seeking a Sr. Compliance Analyst to support the Chief Compliance Officer across CreativeOne Securities and CreativeOne Wealth. The role emphasizes implementing controls, monitoring FINRA/SEC compliance, and coordinating a robust oversight program.

The ideal candidate will have 5–7 years of regulatory experience, FINRA licenses, and a strong ability to document and improve internal controls while guiding teams through complex regulatory requirements.