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Beacon Hill · 1 day ago

Compliance Analyst

Addison, TX

Full-time

Onsite

Senior Level

$30/hr - $30/hr

6+ years exp

Beacon Hill is a staffing solutions company focused on delivering coordinated staffing services. They are seeking an experienced Compliance Analyst with a strong background in broker-dealer operations and regulatory compliance, responsible for managing compliance obligations within the financial services industry.

Staffing Agency

Responsibilities

Conduct 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

Qualification

Broker-dealer operationsRegulatory complianceFINRA knowledgeSeries 7Series 24Series 53Compliance toolsRegulatory reporting systemsMicrosoft Office SuiteSoft skills