Compliance Analyst - Branch Exams

About the role

Compliance Analyst - Branch Exams

The Compliance Analyst – Branch Exams conducts audits of broker‑dealer and advisory branch offices to assess compliance with FINRA, SEC, and applicable state regulatory requirements, as well as firm policies and procedures. This role plays a critical part in building trusted partnerships between the Audit team, firm leadership, field supervisors, and financial professionals.

This position reports directly to an Audit Manager and is fully remote, with periodic travel required.

What You’ll Do

Conduct compliance examinations of securities brokerage and advisory branch offices

Approximately 90% of exams are performed remotely

Up to 40% domestic travel may be required as business needs evolve

Identify, research, and investigate potential audit exceptions

Lead opening and closing meetings with branch personnel and leadership

Prepare clear, well‑organized audit reports and supporting documentation

Collaborate with Audit Managers and team members to improve processes, drive efficiencies, and enhance exam quality

Apply regulatory knowledge to real‑world business scenarios with sound judgment and professionalism

What You Need to Have:

Active Series 7, 24, and 66 licenses (or Series 63 and 65)

5+ years of relevant experience in:

Branch examinations or audits

Broker‑dealer operations

Securities or investment advisory compliance

Ability to work independently in a remote, self‑directed environment

Strong written and verbal communication skills

Proficiency with Microsoft Office, including Word, Excel, Teams, and Outlook

What's Nice to Have:

Bachelor’s or Associate’s degree in Business, Finance, Accounting, or Economics

10+ years of experience in financial services or a related field

Prior experience working remotely and traveling regularly for business

Comfortable leveraging AI‑enabled tools to improve efficiency and quality

AI Prompt Engineering

Compensation:

The base annual salary range for this role is $85,000 to $95,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.

#LI-Remote

Posting text as published by Ebhu.fa.us2.oraclecloud.

The evidence behind this listing

Workplace

Remote Employer field

Seniority

Not established

Employment type

Not established

Location as listed

United States

Pay and work authorization

Stated pay

$85k–95k/yr AI reading of the posting

Visa sponsorship

Not stated

Security clearance

Not established

Citizenship

Not established