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Compliance Analyst – Branch Exams at Cnect | JobVerse
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Compliance Analyst – Branch Exams
Cnect
Remote
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Compliance Analyst – Branch Exams
United States
Full Time
2 weeks ago
$75,000 - $90,000 USD
H1B Sponsor
Apply Now
Key skills
Leadership
Communication
About this role
Role Overview
Conduct compliance examinations of securities brokerage and advisory branch offices
Approximately 90% of exams are performed remotely
Up to 40% domestic travel may be required as business needs evolve
Identify, research, and investigate potential audit exceptions
Lead opening and closing meetings with branch personnel and leadership
Prepare clear, well‑organized audit reports and supporting documentation
Collaborate with Audit Managers and team members to improve processes, drive efficiencies, and enhance exam quality
Apply regulatory knowledge to real‑world business scenarios with sound judgment and professionalism
Requirements
Active Series 7, 24, and 66 licenses
(or Series 63 and 65)
5+ years of relevant experience in:
Branch examinations or audits
Broker‑dealer operations
Securities or investment advisory compliance
Ability to work independently in a remote, self‑directed environment
Strong written and verbal communication skills
Proficiency with Microsoft Office, including Word, Excel, Teams, and Outlook
Benefits
Competitive performance-based bonus
Periodic travel required for compliance examinations
Apply Now
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