Senior Broker-Dealer Regulatory Compliance Analyst

Be Part Of A High-Performing Team

Join a global financial institution recognized for its disciplined approach to risk management, regulatory compliance, and responsible banking. This role supports a finance and strategic planning organization responsible for maintaining strong controls and ensuring that business activities comply with applicable securities regulations and internal governance standards. The environment is highly collaborative, detail-oriented, and focused on accuracy, transparency, and effective risk mitigation.

What’s In Store For You

• Engagement: W2 only; no C2C or 1099 arrangements
• Hybrid opportunity based in Jersey City, New Jersey
• Part-time schedule of approximately 24 hours per week
• Exposure to complex broker-dealer regulatory requirements and senior financial stakeholders
• Opportunity to contribute to compliance monitoring, control assessments, regulatory reporting, and remediation initiatives

How You Will Make An Impact

• Evaluate financial and operational processes for compliance with SEC Rule 15c3-3, internal policies, and applicable industry standards.
• Review reserve computation, customer protection, possession or control, and related broker-dealer compliance activities.
• Perform compliance testing, control assessments, and targeted audits to identify regulatory or operational risks.
• Document findings and prepare clear reports for management, control partners, and relevant stakeholders.
• Monitor regulatory developments and help translate changes into updated policies, procedures, and controls.
• Support investigations into potential compliance issues and recommend practical corrective actions.
• Partner with Finance, Operations, Risk, Legal, and Compliance teams to strengthen adherence to regulatory requirements.
• Assist with compliance training and communicate regulatory expectations to business partners.

Do You Bring Proven Success in Broker-Dealer Regulatory Compliance?

• 10 or more years of experience in compliance, regulatory risk, internal audit, broker-dealer operations, finance controls, or a closely related area.
• Direct knowledge of SEC Rule 15c3-3, including customer protection and broker-dealer control requirements.
• Experience conducting risk assessments, compliance reviews, control testing, or internal audits.
• Strong understanding of financial-services regulatory frameworks and control environments.
• Ability to interpret regulatory requirements and assess their impact on processes, procedures, and reporting.
• Strong analytical, investigative, research, and written communication skills.
• Experience preparing compliance findings, management reports, and remediation recommendations.
• Proficiency with Microsoft Excel, Word, PowerPoint, and compliance or audit management tools.
• High attention to detail and sound judgment when handling confidential or sensitive information.
• Ability to work effectively across Finance, Operations, Risk, Legal, Audit, and Compliance teams.
• Relevant certifications such as CAMS, CRCM, CCEP, CPA, CIA, or Series 7/24 are helpful but not required unless specifically requested by the hiring team.