Sr. Regional Compliance Analyst (Hybrid)
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The role
This hybrid, full-time role provides regional and local compliance support for branch locations, ensuring adherence to industry regulations and firm policies.
Conduct announced and unannounced inspections and interviews of Advisors and Financial Professionals, including on-site reviews of registered and non-registered offices.
Collect and review data for pre-work audits, educate Advisors/Financial Professionals on policies, and assist branches in addressing compliance issues.
Deliver timely reports with audit findings and recommendations, schedule assigned examinations, and coordinate travel using Concur (approx. 30% travel).
Perform social media content reviews of Advisors/Financial Professionals via Proofpoint Patrol and provide regional support to locations facing compliance or staffing challenges.
Contribute to ad hoc compliance reporting, mock audits, and process improvements to enhance efficiency and regulatory readiness.
Conduct announced and unannounced inspections and interviews of Advisors and Financial Professionals, including on-site reviews of registered and non-registered offices.
Collect and review data for pre-work audits, educate Advisors/Financial Professionals on policies, and assist branches in addressing compliance issues.
Deliver timely reports with audit findings and recommendations, schedule assigned examinations, and coordinate travel using Concur (approx. 30% travel).
Perform social media content reviews of Advisors/Financial Professionals via Proofpoint Patrol and provide regional support to locations facing compliance or staffing challenges.
Contribute to ad hoc compliance reporting, mock audits, and process improvements to enhance efficiency and regulatory readiness.
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