The Analyst will support the firm’s Legal Registration Group by executing day-to-day registration, licensing, and compliance activities related to broker-dealer registered representatives, investment adviser representatives (IARs), and non-registered associates
Job Summary
The Analyst will support the firm’s Legal Registration Group by executing day-to-day registration, licensing, and compliance activities related to broker-dealer registered representatives, investment adviser representatives (IARs), and non-registered associates.
This role is critical to maintaining regulatory compliance through proactive monitoring, accurate documentation, and timely execution of registration and licensing obligations.
Employees may be eligible for a discretionary bonus, which is determined upon company and individual performance, and can expect a generous retirement plan and health and wellness benefits.
Matching Summary
The Analyst will support the firm’s Legal Registration Group by executing day-to-day registration, licensing, and compliance activities related to broker-dealer registered representatives, investment adviser representatives (IARs), and non-registered associates.
Salary
Base: $69,500.00 - $118,000.00; Bonus/Equity: Annual bonus eligibility; Benefits: Health and wellness benefits, retirement plan, PTO
Skills & Requirements
Must-have
Broker-dealer registration
Investment adviser representative licensing
FINRA CRD system
Regulatory compliance monitoring
Fingerprinting requirements coordination
Nice-to-have
Risk identification and mitigation
Collaborative culture
Proactive risk-focused mindset
Process improvement contribution
Key Requirements
2+ years of total relevant work experience
FINRA Series 7 and Series 24 registrations required or obtainable within 6 months