Sr. Analyst, Compliance

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

Sr. Analyst, Compliance

American Beacon Partners, formerly known as Resolute Investment Managers, is a diversified asset management platform with affiliated and independent partnerships with more than 30 investment managers. Drawing on approximately 40 years of investment expertise, innovation and adaptability, American Beacon Partners delivers enduring value through traditional and alternative solutions designed to meet investors' evolving needs.

Driven by future value creation, American Beacon Partners' unique platform delivers strategic benefits through a full suite of distribution, operational and administrative services that may be leveraged by its affiliates. We offer three customizable partnership models tailored for the U.S. wealth and retirement markets. For affiliated partners, we make strategic investments in boutique asset managers to enhance distribution and administrative support functions. For strategic distribution partners, we help investment managers leverage our distribution expertise to achieve greater scale. For sub-advisors to American Beacon Advisors, we assist institutional-caliber asset managers who are seeking to expand their strategies to retail markets through existing funds or new fund launches. With roots as an unaffiliated sub-advised mutual fund sponsor, the majority of our partnerships are with asset managers who invest and operate with full autonomy and independence.

American Beacon Partners' affiliates include American Beacon Advisors, Inc.; National Investment Services of America, LLC; RSW Investments Holdings LLC; Shapiro Capital Management LLC; SSI Investment Management LLC; and Resolute Investment Distributors, Inc.

In December 2025, the company was named one of the "Best Places to Work in Money Management" by Pensions & Investments for the seventh consecutive year. For more information, please visit www.ambeacon.com

Our office is located in Irving, Texas (Las Colinas). This position will have the following consideration:

Hybrid: In office, currently Monday-Tuesday-Wednesday each week, with the option to work from home on Thursday and Friday.

Job Description:

The Senior Compliance Analyst reports to the Chief Compliance Officer and works collaboratively with other team members to assist in administration of the compliance program for Resolute Investment Distributors, Inc., the company's FINRA-member limited purpose broker-dealer. In addition, the Senior Compliance Analyst supports the compliance programs implemented on behalf of the company's affiliated advisers and fund family. These programs are designed around applicable federal and state securities laws and regulations, including the Securities Exchange Act of 1934 and FINRA rules, the Investment Advisers Act of 1940 and the Investment Company Act of 1940.

Key Responsibilities

• Marketing Material Review: Review and approve marketing materials, sales literature and promotional activities for compliance with FINRA and SEC rules. Coordinate required FINRA filings of retail communications, website updates and social media content
• Broker-Dealer Compliance Program: Assist the Broker-Dealer Chief Compliance Officer in developing and maintaining compliance policies and written supervisory procedures designed to ensure the broker-dealer's activities comply with all pertinent legal and regulatory requirements of the SEC, FINRA and applicable states
• Registration & Licensing: Assist with FINRA registration, licensing and continuing education requirements for the broker-dealer and its registered representatives
• Registered Representative Support: Under the direct supervision of the Broker-Dealer Chief Compliance Officer, provide day-to-day compliance support to registered representatives, including review of correspondence, electronic communications, outside business activities, and gifts and entertainment
• Disclosure Document Review: Review fund registration statements, prospectuses and shareholder communications for consistency with regulatory requirements, including disclosure relating to the broker-dealer and its distribution activities
• Books & Records: Maintain accurate and complete books and records and monitor compliance with SEC and FINRA record retention requirements
• Regulatory Change Management: Support assessments of new rules and regulations and assist with implementation activities\
• Internal Training: Support the development and delivery of periodic compliance training, including the annual compliance meeting and continuing education for registered representatives
• Special Projects: Participate in cross-functional initiatives, such as the evaluation and implementation of new compliance technology and compliance analyses of proposed new investment products

Requirements

• 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
• 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

Preferred Qualifications

• FINRA Series 26 or Series 24 license
• Experience with investment adviser compliance functions, such as portfolio compliance monitoring and investment guideline testing
• Prior experience reviewing marketing materials for a broker-dealer, registered fund complex or private fund sponsor
• Working knowledge of rules under the Investment Company Act of 1940 and the Investment Advisers Act of 1940
• Experience with compliance monitoring software and portfolio management applications
• Project management experience

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