Compliance Analyst

Job Title
Compliance Analyst
Scottsdale, AZ

Filed under: , , ,


We are seeking a Regional Compliance Specialist will actively monitor and review registered representatives’ business practices, trade activity, communications with the public and outside business activities.  Knowledge of Industry Regulations and Firm Policies is required and the ability to convey these regulations to internal employees, supervisors and registered representatives.  Moderate to frequent travel is required to conduct on-site examinations of Firm’s Branch Offices. This role may be assigned various ad hoc projects to support the Compliance Department and/or other departments as needed. This position will report to Assistant Vice President, Compliance.


Our client is an organization of financial professionals who are all aligned and committed to exceeding client expectations. This broker/dealer provides brokerage, insurance, and investment advisory services to individual investors and small businesses across the United States. Its clearing services are offered with Pershing.


  • Written and verbal correspondence with peers, registered representatives, financial institutions, and clients
  • Provide registered representatives assistance regarding compliance issues, United Planners policies and procedures, and industry regulations
  • Reviews documents and information, conduct research and performs special projects as assigned
  • Monitors and reviews registered representatives’ Outside Business Activities
  • Review of registered representatives’ communication with the public for adherence with FINRA, SEC, state and Firm policies
  • Conducts surveillance of registered representatives’ sales activities including advisory business
  • Maintains accurate records of inquiries and responses
  • Schedule, prepare, & conduct on-site Branch Office examinations
  • Review and monitor exam responses with Senior Regional Compliance Specialist
  • Corresponds with field and supervisory structure regarding sales issues
  • Report issues that are of concern to the Compliance management
  • Prepare and conduct compliance presentations
  • Assisting management in identifying and containing compliance risk and proactively fostering a positive compliance culture


  • At least 2 years of financial services or compliance experience
  • FINRA Series 7, 24 Required; a plus 63, 65 or 66
  • Understand of elemental financial equations with the ability to compute figures (discounts, interest, commissions, proportions, and percentages, etc.)
  • Read, analyze, and interpret general industry periodicals, professional journals, technical procedures, and industry regulations
  • Assess situations through deductive reasoning and develop solutions that are within Industry/Firm standards and work for both the Firm and the Representative.
  • Understand and apply new regulations, Firm policy changes, and if applicable, additional licensing and coursework to adapt to changes in industry and job demands
  • Effective written and oral communication skills
  • Analytical skills, sound judgment, decision making and collaboration
  • Ability to work equally well in a team environment and/or independently
  • Punctual and able to successfully meet job critical deadlines and effectively manage one’s time
  • Write reports and business correspondence
  • Present information to groups of peers, managers, and registered representatives
  • Utilize Microsoft Windows tools including Word, Excel and Power Point


This position will be based out of Scottsdale, AZ. This is a full-time position that is available for immediate hire. A meaningful compensation package will be developed for the successful candidate that will include a base salary, performance bonus and comprehensive benefits.

Apply for this position

  • Attach a file here.
    Accepted file types: pdf, doc, docx, txt, rtf.

Contact - Kaitty Esver
Categories - , , ,

Browse our job listings. Use the search field -or- filter by category below.