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Atlantic Group · 1 day ago

Senior Compliance Analyst (Broker-Dealer)

New York, NY

Full-time

Hybrid

Mid, Senior Level

$95K/yr - $125K/yr

3+ years exp

Atlantic Group is hiring a Senior Compliance Analyst (Broker-Dealer) in New York, NY for their client, supporting broker-dealer registration, licensing, and onboarding compliance. This hybrid role oversees new hire registrations, FINRA Gateway filings, and regulatory recordkeeping while partnering closely with compliance, supervision, and business teams.

B2BHuman ResourcesStaffing Agency

Growth Opportunities

Responsibilities

Manage and process FINRA Gateway filings including Forms U4, U5, BD, BR, and applicable NFA filings, ensuring accuracy and timely submission

Oversee pre-hire and onboarding compliance processes, including background checks, fingerprinting, required disclosures, and Code of Ethics affirmations

Maintain accurate registration and licensing records in internal systems in compliance with regulatory recordkeeping requirements

Prepare reporting for management and compliance teams and research and respond to regulatory inquiries related to disclosures and disciplinary matters

Coordinate licensing and exam requirements, support compliance surveillance activities, and assist with audits and regulatory examinations

Qualification

Broker-dealer complianceFINRA GatewayCRDIARDNFA ORSMicrosoft OfficeHighly organizedCommunication skillsDetail-orientedAdaptability

Required

Bachelor's degree in Finance, Business, Accounting, or a related field required

3-5 years of broker-dealer compliance experience with a focus on registration, licensing, or onboarding

Strong understanding of FINRA, SEC, and state registration requirements, including CRD, IARD, and NFA platforms, with familiarity with continuing education and licensing obligations

Proficiency in FINRA Gateway, CRD, IARD, and NFA ORS, with strong working knowledge of Workday, Excel, and Microsoft Office

Highly organized, detail-oriented professional with strong communication skills, the ability to manage multiple deadlines, and adaptability to changing regulatory requirements