Compliance Analyst

The Compliance Analyst supports the ETC Brokerage Chief Compliance Officer (CCO) with a strong understanding of regulatory frameworks within the financial services sector. Maintains a strict adherence to all pertinent regulations and internal protocols governing operations to ensure the Company remains compliant with outside obligations and internal compliance policies. Manages internal and external compliance obligations, monitors compliance-related projects, and ensures the implementation of recommended corrective action plans.

RESPONSIBILITIES & DUTIES

• Assists in conducting regular reviews of trading activities, customer accounts, and operational processes to ensure compliance with SEC, FINRA, and other regulatory requirements.
• Provides training and guidance to employees on compliance policies, regulations, and best practices to foster a culture of compliance awareness throughout the organization.
• Assists in the regular maintenance of compliance policies and procedures to mitigate regulatory risks and ensure adherence to industry standards.
• Assists in the preparation and submission of regulatory filings and disclosures, such as Form U4, Form ADV, and other required reports to regulatory authorities.
• Assists with pre and post hiring activities, such as pre hire checks, outside business activity reviews, personal trading approvals, and account statement and trade confirmation reviews.
• Works closely with other departments, including Legal, Risk Management, Operations, and Trading, to address compliance-related issues and facilitate effective communication and coordination.
• Stays abreast of regulatory developments, industry trends, and best practices in compliance management to ensure that the organization remains proactive in addressing regulatory changes.
• Performs other duties as assigned

QUALIFICATIONS

• Minimum 5 years of experience in a broker-dealer or investment bank
• Bachelor’s degree in finance, business administration, or related field preferred
• Strong knowledge of FINRA, SEC, and state rules and regulations governing broker-dealers and securities trading

PROFESSIONAL CERTIFICATIONS

• SIE and Series 7 license (must obtain within 6 months of hire)

TECHNICAL SKILLS

To be successful in this role, you should have experience with and an understanding of the following:

• Intermediate-level proficiency in Microsoft Office

CULTURAL COMPETENCIES

In addition to our core company competencies of Cultivates Innovation, Nimble Learning, Action Oriented, Collaborates, and Being Resilient, a successful candidate in this role should exhibit the following behavioral competencies: