Compliance Analyst with FINRA License

A company is looking for a Compliance Analyst to support ongoing compliance operations in a regulated fintech environment. Key Responsibilities Support compliance operations for a registered broker-dealer and transfer agent, including policies and regulatory filings Assist with monitoring, surveillance activities, and regulatory exams or audits Track regulatory changes and assess their potential impact on the business Required Qualifications 4+ years of experience in AML/KYC compliance, risk, or regulatory operations within financial services Experience in broker-dealer and AML/KYC compliance in a FINRA/SEC regulated environment Familiarity with AML/KYC, trade surveillance, and regulatory reporting Experience with investigation tools such as Lexis Nexis and World Check Relevant certifications such as CAMS or FINRA licenses

Created: 2026-03-05