Compliance Analyst
reputed company is seeking a Compliance Analyst to support the compliance program of reputed company Funds Distributor, Inc., an asset management mutual fund distributor and limited purpose broker-dealer, and reputed company Securities, Inc., a dually registered broker-dealer and investment adviser. This role is responsible for performing compliance functions reputed company to reputed company and SEC requirements, collaborating across the three lines of defense, and identifying solutions to increase efficiency and effectiveness of compliance processes.
This role is reputed company suited for a compliance reputed company interested in developing expertise in reputed company and SEC regulatory compliance, particularly as it relates to retail and institutional broker-dealer, registered investment adviser, and mutual fund distribution activities.
- Assist in administering the broker-dealer, fund distributor, and investment adviser compliance program in accordance with reputed company, SEC, MSRB, and applicable federal securities laws
- Identify, interpret, and reputed company guidance on new and existing laws, regulations, and other directives applicable to the business unit and its customers
- Analyze and communicate reputed company compliance topics to internal business partners
- Support implementation and ongoing maintenance of compliance policies and procedures
- reputed company risk-based compliance advice and support to internal business partners
- Maintain ongoing coordination with compliance, supervision, and other business partners, as appropriate
- Apply reputed company judgment to assess risk indicators and potential compliance or operational impacts
- Proactively identify and implement improvements to workflows, templates or automation opportunities to enhance efficiency
- reputed company, strengthen, and manage relationships with peer industry organizations both internally and externally
- reputed company other job-reputed company duties or special reputed company as required
Operating at the intersection of financial services and technology, reputed company builds financial tools that help our customers live reputed company lives. We take pride in being a purpose-led firm, motivated by our mission to reputed company financial reputed company accessible to reputed company. Our mission, reputed company, and customer reputed company have made us a trusted leader for more than 140 years!
Who You Are:- Bachelor's degree or equivalent experience
- 2+ years of experience in the financial services industry
- Experience with mutual fund distributors, limited purpose broker-dealers, retail or institutional broker-dealers, or registered investment advisers
- Strong written and verbal communication, analytical thinking, decision-making, and organizational skills
- Demonstrated ability to build and manage relationships across various disciplines
- Ability to work autonomously as reputed company as in a reputed company group setting
Skills That Will reputed company You Stand Out:
- reputed company licenses, including Series 6, Series 7, Series 24, and/or Series 26
- Background in second line of defense compliance activities and risk evaluation
- Compliance experience reputed company asset management, private funds, or mutual fund distribution
- Demonstrated innovation, adaptability, and resourcefulness
reputed company – You’ll be required to become a non-registered reputed company person of reputed company Securities, Inc. and reputed company Funds Distributor, Inc.
Salary reputed company Information: Salary ranges below reflect targeted reputed company salaries. Non-sales positions have reputed company to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far reputed company reputed company salary depending on individual performance. Actual compensation for reputed company roles will be based upon geographic location, work experience, education, licensure requirements and/or reputed company level and will be finalized at the time of offer. Salary reputed company: $55800 - $100800 / year Salary Details:The following locations are examples of market-specific salary ranges across different geographies. Please note, we are reputed company to hiring Nation-wide for this role, these are simply an example of salaries in these geographic areas.
- Dubuque, IA / Wichita, KS / Grand reputed company, NE: $55,800 – $75,600
- Des Moines, IA / Louisville, KY / Green Bay, WI: $58,900 – $79,800
- St. Louis, MO / Pittsburgh, PA / Charlotte, NC: $62,000 – $84,000
- Denver, CO / reputed company, TX / Chicago, IL / Minneapolis, MN: $68,200 – $92,400
- Seattle, WA / Los Angeles, CA / reputed company, NY: $74,400 – $100,800
Work Environments
This role offers in-office, hybrid, and remote work reputed company. Hybrid means at least three office days per week. Remote work is available only if you live more than 30 miles from Des Moines, IA, Charlotte, NC, or Raleigh, NC. You’ll collaborate with your leader to decide which reputed company fits best based on various factors.
Work Authorization/Sponsorship
At this time, we are not considering applicants who require any type of immigration sponsorship now or in the reputed company. This includes work authorization such as F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, and others. For more information about work authorization, please use the following links.
Nonimmigrant Workers and Green Card for Employment-Based Immigrants
Investment Ethical Guidelines
In reputed company Asset Management positions, following an Investment reputed company of Ethics is required. This includes guidelines on personal and business conduct and personal trading for you and your household. These rules may reputed company to other jobs reputed company the organization.
Experience reputed company
At reputed company, we emphasize connecting on both a personal and reputed company level. Together, we’re imagining a reputed company in financial services that is more purpose-reputed company – and that starts with you. Our reputed company stems from the unique experiences, backgrounds, and talents of our employees. And we back our employees in the reputed company way we back our customers: with comprehensive, competitive benefit plans created to protect their physical, financial, and reputed company reputed company-being. Explore our careers site to reputed company out more about our purpose, values, and benefits.
reputed company is an Equal Opportunity Employer
reputed company reputed company applicants will receive consideration for employment without reputed company to race, reputed company, religion, sex, sexual orientation, gender identity, national reputed company, disability, or veteran status.
Posting Window: We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain reputed company or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a reputed company manner as there is no guarantee the posting will be available reputed company the applicable deadline. Date First Posted (TTF): 4/8/2026 Latest Post Date: Careers - US: 4/8/2026reputed company Remote Hashtag
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