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Compliance Analyst - Broker-Dealer

Location: North Dallas, TX
Schedule: Fully Onsite, Monday-Friday, 8:00 AM - 5:00 PM
Pay: $30/hr+ (depending on experience)
Type: Temp-to-Hire

About the Role

We are seeking an experienced Compliance Analyst with a strong background in broker-dealer operations and regulatory compliance. This is a fully onsite position in North Dallas, ideal for a professional who thrives in a structured environment and has a proven track record of managing compliance obligations within the financial services industry.

Key ResponsibilitiesConduct compliance reviews, OSJ inspections, and 3120 supervisory controls testing.Oversee AML compliance, trading rules, and regulatory reporting.Manage registration processes, including Form U4 and Gateway Systems.Ensure adherence to Books and Records requirements (including SEC Rule 17a-4 and electronic recordkeeping).Advise business units on compliance matters related to account opening, money movement, and trade reporting.Respond to regulatory exams and written inquiries.Maintain and update compliance policies and procedures to mitigate risk.QualificationsExperience: Minimum 6-8 years in broker-dealer operations, with at least 3-4 years in a compliance role.Education: Bachelor's degree in Finance, Business Administration, Law, or related field.Licenses: Series 7, Series 24, and Series 53 (preferred).Regulatory Knowledge: Deep understanding of FINRA, SEC, and state regulations.Technical Skills: Proficiency in compliance tools (FIS, Lexis Nexis), Microsoft Office Suite, and regulatory reporting systems.

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