Compliance Analyst - Broker Dealer

The Broker Dealer (BD) Compliance team is responsible for ensuring that the Firm’s policies and procedures are applied consistently in the regulatory review of new applicants. Our core function is to evaluate prospective individuals against the Firm’s standards, as well as the rules and regulations governing our highly regulated industry. We guide and advise internal and external partners throughout the onboarding and approval process, helping them understand eligibility requirements, documentation expectations, and potential risk indicators. We work in partnership to identify compliant solutions where possible, supporting our business partners and field force in bringing qualified applicants into the organization while maintaining regulatory integrity and protecting the Firm.