COMPLIANCE ANALYST - BRANCH EXAMS

The Compliance Analyst – Branch Exams conducts audits of broker‑dealer and advisory branch offices to assess compliance with FINRA, SEC, and applicable state regulatory requirements, as well as firm policies and procedures. This role plays a critical part in building trusted partnerships between the Audit team, firm leadership, field supervisors, and financial professionals. This position reports directly to an Audit Manager and is fully remote, with periodic travel required.