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Compliance Analyst with FINRA License

February 23, 2026

A company is looking for a Compliance Analyst to support ongoing compliance operations in a regulated fintech environment.

Key Responsibilities

Support compliance operations for a registered broker-dealer and transfer agent, including policies and regulatory filings
Assist with monitoring, surveillance activities, and regulatory exams or audits
Track regulatory changes and assess their potential impact on the business

Required Qualifications

4+ years of experience in AML/KYC compliance, risk, or regulatory operations within financial services
Experience in broker-dealer and AML/KYC compliance in a FINRA/SEC regulated environment
Familiarity with AML/KYC, trade surveillance, and regulatory reporting
Experience with investigation tools such as Lexis Nexis and World Check
Relevant certifications such as CAMS or FINRA licenses

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