Job Description

Job Description

Job Description

Position Summary

The Compliance Analyst supports the Compliance Manager in executing the firm’s regulatory and supervisory responsibilities. This person reports to the Compliance Manager and the Chief Compliance Officer. This role is ideal for a detail-oriented professional with a strong understanding of compliance operations, documentation standards, and surveillance systems. The analyst will assist in monitoring daily activities, maintaining records, and supporting internal audits and training efforts.

Key Responsibilities

Compliance Monitoring & Support

• Monitoring proposed, adopted, and amended rules and regulations (FINRA, SEC, MSRB, NFA, state regulations, etc.)
• Perform FINRA Branch Office Inspections
• Manage the Firm’s continuing education program for Associated Persons.
• Assisting in developing and implementing internal compliance training programs
• Assist in customer onboarding, including the performance of customer due diligence, review of new account documentation and ongoing monitoring of customers in accordance with the firm’s policies and procedures and applicable regulatory requirements.
• Assist in monitoring communications through surveillance platforms (e.g., Actimize, Global Relay, Sycamore/Investedge)
• Participating in Compliance initiatives and projects as may be assigned.

• Review documentation of Financial Crime Enforcement Network (FinCEN) postings.
• Review and monitor approval requests for new personal trading accounts, personal trading, outside activities and business gifts, meals and entertainment for employees of the Firm.
• Work with Compliance Officer with the use of Lexis Nexis and running and reviewing reports.

• Maintain accurate and organized compliance records (digital and physical)
• Support documentation of disclosures, suitability reviews, and client communications
• Archive regulatory filings and correspondence for audit readiness
• Compile data for monthly and quarterly compliance reports
• Support the Compliance Office Manager in preparing presentations and memos
• Maintain logs of training attendance, licensing status, and continuing education
• Respond to routine compliance inquiries from staff and registered representatives
• Help draft internal communications regarding policy updates and regulatory changes
• Support the development of training materials and reference guides

Qualifications and Skills

• Education: Bachelor’s degree in Finance, Business Administration, or related field
• Experience: 2–4 years in financial services compliance or operations
• Familiarity with FINRA, SEC, and AML regulations
• Ability to understand complex rules and regulations and communicate them to all levels of staff, including management, within all departments and discuss them with external relationships and to develop and implement appropriate procedures
• Must show the ability to manage multiple projects, make quick decisions, use prioritization skills, and concentrate on detailed information in a fast-paced work environment and meet deadlines
• FINRA Series 7 (General Securities Representative Qualification) certification required, or willingness to complete industry courses (ex. FINRA SIE, Series 7, 24 and 66, and MSRB Series 51/ 53)
• Strong organizational and analytical skills
• Proficiency in Microsoft Office Suite and compliance platforms
• Bilingual (English/Spanish) preferred

Work Environment

This role is based in a professional securities office in Guaynabo, PR. It requires a polished, compliance-focused demeanor and may involve occasional overtime to meet regulatory deadlines or support audits.

Equal Employment Opportunity Statement

This company is an Equal Employment Opportunity employer. We are committed to providing a workplace free from discrimination or harassment based on race, color, religion, creed, sex, gender identity or expression, sexual orientation, national origin, age, disability, marital status, veteran status, genetic information, or any other protected status under applicable federal, state, or local laws. We value diversity and encourage individuals from all backgrounds to apply.

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