Series 7 Brokerage Compliance & Risk Analyst

Dexian; Shoreview (MN); On-site; USD 70,000 - 90,000; Full time

Job summary

Dexian seeks a Brokerage Compliance Analyst to support regulatory compliance, risk management, and operational controls within a brokerage environment. You will research and review processes, analyze complaints and compliance matters, identify trends, and partner with internal teams to ensure adherence to regulations and company policies.

Strong analytical and communication skills required. This role requires independence in a fast-paced setting and collaboration with multiple stakeholders

Qualifications

• Active FINRA Series 7 license required.
• 2+ years of experience in brokerage operations, compliance, risk management, quality assurance, or related fields.
• Experience reviewing brokerage complaints or conducting compliance-related research preferred.
• Strong analytical and critical thinking skills with the ability to identify trends and recommend solutions.
• Excellent written and verbal communication skills.
• Ability to work independently in a fast-paced, detail-oriented environment.

Responsibilities

• Conduct research, analysis, and documentation related to compliance, regulatory, risk, and control activities.
• Review brokerage complaints, operational processes, and business procedures to identify issues, trends, and improvement opportunities.
• Analyze findings and present recommendations to support risk mitigation and process enhancements.
• Partner with compliance, operations, risk, and business teams to ensure consistent and accurate outcomes.
• Support internal initiatives focused on regulatory adherence, quality assurance, and operational effectiveness.
• Maintain knowledge of industry regulations and brokerage compliance requirements.

Skills

Active FINRA Series 7 license

Analytical thinking

Communication skills

Independent work

Job description

Dexian seeks a Brokerage Compliance Analyst to support regulatory compliance, risk management, and operational controls within a brokerage environment. You will research and review processes, analyze complaints and compliance matters, identify trends, and partner with internal teams to ensure adherence to regulations and company policies.

Strong analytical and communication skills required. This role requires independence in a fast-paced setting and collaboration with multiple stakeholders