Client Complaint Analyst

Job Title: Sr. Analyst, Regulatory Compliance

Department: Compliance

Reports To: Director, Regulatory Compliance

Schedule: In-office 4 days/week, remote on Fridays

Pay Rate: $80k - $90K

Overview:

We are looking for a Senior Analyst in Regulatory Compliance to join our Compliance team. In this role, you’ll help handle regulatory requests, client complaints, and internal investigations. You'll work closely with the Director of Regulatory Compliance and other departments to help ensure the company stays compliant with rules and regulations.

Key Responsibilities:

• Respond to requests and inquiries from regulators (FINRA, SEC, State).
• Review and organize documents and data for accuracy before submission.
• Write clear and professional responses to regulators, especially for client complaints.
• Track deadlines for regulatory requests and make sure responses are submitted on time.
• Handle customer complaints submitted through regulators (e.g., FINRA, CFPB), research the issue, and prepare written responses.
• Support internal investigations and summarize findings.
• Help coordinate meetings and communications during audits and exams.
• Keep track of findings and make sure they are properly addressed and closed.
• Stay current with regulatory changes that may impact the company.

What You Should Bring:

• 5 years of experience in financial services (Broker-Dealer or RIA experience preferred).
• Compliance experience is required.
• Experience with Internal Audit, Branch Exams, or Investigations is a plus.
• Must be experienced in writing regulatory responses and interacting (at least in writing) with regulators.
• Strong attention to detail, organizational, and time management skills.
• Familiarity with Lexis Nexis, RegED, Smarsh, and NFS platforms is a plus.
• Ability to handle sensitive information professionally and confidentially.
• Experience managing multiple tasks and working under pressure.

Required Licenses:

• Series 7
• Series 24
• Series 63 or 66