Compliance Analyst, Licensing And Registration

Company Description: Concorde Investment Services, LLC, is a reputable financial services firm dedicated to providing top-notch investment solutions to our clients. We are currently seeking a highly motivated and detail-oriented individual to join our team as a Broker Dealer Compliance Analyst. The ideal candidate will have a strong understanding of regulatory compliance in the financial industry, broker dealer registration and licensing experience, exceptional analytical skills, and the ability to navigate complex regulatory landscapes.

Responsibilities:

1. Regulatory Compliance Monitoring:

· Stay abreast of all relevant laws, rules, and regulations pertaining to broker-dealer operations.

· Monitor and assess regulatory changes to ensure the firm's compliance policies and procedures are up to date.

2. Policy Development and Implementation:

· Assist in the development and enhancement of compliance policies and procedures to align with regulatory requirements.

· Work closely with internal teams to implement and communicate compliance policies throughout the organization.

3. Risk Assessments:

· Conduct regular risk assessments to identify potential compliance risks and develop strategies to mitigate those risks.

· Collaborate with other departments to ensure a comprehensive understanding of business activities and potential compliance implications.

4. Investigations and Reporting:

· Investigate and report any potential violations of regulations or internal policies.

· Prepare and submit regulatory reports as required by relevant authorities.

5. Training and Education:

· Develop and deliver compliance training programs for employees to ensure a high level of awareness and understanding of regulatory requirements.

· Provide ongoing support and guidance to employees on compliance-related matters.

6. Audit Support:

· Coordinate and support internal and external audits related to broker-dealer compliance.

· Work with auditors to provide necessary documentation and address any findings.

7. Recordkeeping and Documentation:

· Registered Representative Onboarding and Offboarding: Form U4 and U5 processing and branch office registrations (Form BR).

· Maintain accurate and organized records of compliance-related activities. Ensure all required documents and reports are filed in accordance with regulatory standards.

8. Communication:

· Act as a liaison between the firm and regulatory agencies, responding to inquiries and requests for information.

· Communicate changes in regulations and compliance requirements to relevant stakeholders.

Qualifications:

· Bachelor’s degree in finance, business, or a related field.

· 1-2 years of experience in broker-dealer compliance or a similar role.

· Strong understanding of SEC and FINRA regulations.

· Excellent analytical and critical thinking skills.

· Effective communication and interpersonal skills.

· Ability to work independently and collaboratively within a team.

· Strong computer skills required, including ability using MS Outlook, MS Word, and MS Excel as well as other internal systems.

· Professional certifications (e.g., SIE, Series 7) are a plus.

How to Apply:

Interested candidates are invited to submit their resume and cover letter to Nicole Woolson at Nwoolson@concordeis.com. Please include " Compliance Analyst Application" in the subject line.

Job Type: Full-time

Pay: From $50,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Flexible spending account
• Health insurance
• Health savings account
• Paid time off
• Vision insurance

Schedule:

• 8 hour shift

Application Question(s):

• Are you willing to obtain FINRA Licensing (e.g. SIE, Series 7)?

Work Location: Remote