Job Description

Senior Regulatory Compliance Specialist

Sr. Analyst, Regulatory Compliance,  Comp: 85-100K with excellent Benefits!

Are you a  detail-oriented compliance professional  who thrives in fast-paced environments, enjoys the challenge of  regulatory audits and investigations , and is eager to make a meaningful impact within a collaborative compliance team? Then keep reading.

We are seeking a  Sr. Analyst, Regulatory Compliance to join a dynamic, supportive team that plays a critical role in  responding to regulatory inquiries (FINRA, SEC, and State regulators), managing internal investigations, and ensuring adherence to evolving regulations in the independent financial advisor space.  

Key Responsibilities:

• Partner with the  Director of Regulatory Compliance to manage  regulatory responses, examinations, and inquiries from FINRA, SEC, and State regulators.
• Compose and  validate formal responses , ensuring data accuracy, regulatory consistency, and proper documentation.
• Lead tracking and coordination of deadlines, deliverables, and response quality during active audits or investigations.
• Support  internal investigations and  customer complaint reviews , including fact-gathering, root cause analysis, and internal reporting.
• Conduct  quality control reviews , identifying potential gaps, risks, or inconsistencies in responses and internal data.
• Assist in the  tracking and resolution of regulatory findings to ensure timely and effective remediation.

Who You Are:

• 5+ years of  regulatory compliance experience within  RIA firm or similar .
• Direct experience with regulatory exams, internal audits, branch exams, or investigations preferred.
• Strong familiarity with  Lexis Nexis, RegEd, Smarsh, and NFS (Streetscape)is a plus.
• Confident interacting with  independent financial advisors, regulators, and internal leadership.

Required Licenses:

• Series 7
• Series 24
• Series 63 (or 66)

MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at [email protected]

Job Tags

Full time, Local area,

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