Compliance Analyst at Colorado Financial Service Corporation · Centennial, CO · Joined
CC
Compliance Analyst
Colorado Financial Service Corporation · Centennial, CO · Just now · 0 applicants
NewOn-siteFull-timeMiddle
Pay
$60k–$80kListed
Workplace
On-site
Job type
Full-time
Level
Middle
Team: Compliance · Source: jobright · Posted by joined-scrapper
About the role
The Compliance Analyst monitors broker-dealer activities to ensure regulatory and internal compliance, supporting transaction reviews, branch audits, reporting, and training. The role requires Series 7 and 24 licenses and at least three years of broker-dealer experience.
What you’ll do
Monitor and review broker-dealer activities for regulatory and internal compliance
Support transaction reviews
Support branch audits
Prepare regulatory and internal reports
Respond to registered representative inquiries
Support compliance training
What you’ll need
Series 7 and 24 licensing
Minimum of 3 years of Broker Dealer experience
Strong regulatory compliance knowledge including SEC and FINRA rules
Demonstrated analytical skills for reviewing transactions, reports, and audit findings
Effective communication skills for working with internal teams, branch offices, and registered representatives
Proficiency with standard office software and data/reporting tools
Original job description
Colorado Financial Service Corporation is a broker-dealer registered with the SEC and a member of FINRA and SIPC. The Compliance Analyst monitors and reviews broker-dealer activities for regulatory and internal compliance, supporting transaction reviews, branch audits, reporting, representative inquiries, and compliance training.Series 7 and 24 licensing…