Compliance Analyst
About the Role
You will support day-to-day regulatory compliance activities, monitoring, documentation, and internal controls for a regulated broker-dealer and transfer agent. You will conduct transaction and communications reviews, investigate AML alerts, assist with regulatory exams and audits, perform compliance testing and remediation, and partner with Legal, Operations, and Product to embed compliance into workflows.
Requirements
- 4+ years experience in AML KYC compliance risk or regulatory operations within financial services
- Experience with broker-dealer and AML KYC compliance in a FINRA SEC regulated environment preferred
- Familiarity with AML KYC trade surveillance regulatory reporting financial crime investigation and enhanced due diligence
- Experience using LexisNexis World-Check Chainalysis or similar investigation tools
- Experience evaluating customer information assessing risk factors and documenting findings
- Strong attention to detail and ability to manage multiple compliance workflows
- Excellent written and verbal communication skills
- CAMS or FINRA licenses or other relevant certifications
- Exposure to digital assets blockchain or tokenized securities
Responsibilities
- Support compliance operations for a registered broker-dealer and transfer agent
- Maintain policies procedures and internal controls
- Monitor transactions communications and AML alerts
- Conduct compliance testing and track remediation
- Support regulatory exams audits and information requests
- Investigate AML KYC and financial crime alerts
- Assist with employee compliance matters including training and attestations
- Track and assess regulatory changes
Benefits
- Unlimited Paid Time Off (PTO)
- Equity Grant Opportunities
- Remote Work Flexibility
- 100% employer-paid Medical Dental and Vision for you and your family
- 401(k) Retirement Plan
Skills
Communication SurveillanceOfacBsaTrade SurveillanceBlockchain AnalysisCompliance TestingSecuritiesFinraCamsBroker-DealerTransfer AgentAtsCddAuditEnhanced Due DiligenceBlockchainPolicySecKycInvestigationAmlInternal ControlsRegulatory ReportingLexisnexisWorld-CheckChainalysisCommunication ReviewTokenized SecuritiesTransaction Monitoring