Senior Compliance Analyst - Branch Oversight & Risk Testing

Company: Mohr Talent
Location: Austin
Posted on: April 6, 2025

Job Description:

Senior Compliance Analyst - Branch Oversight & Risk Testing

Location: Austin, TX (4 days onsite, Fridays remote)

Salary: $100K base + 15% bonus

Join a highly respected and growing financial services firm as a Senior Compliance Analyst, where you will have a significant impact on branch examinations and risk management initiatives. This role presents a unique opportunity for a compliance professional to lead oversight efforts, support critical regulatory reporting, and enhance the firm's Anti-Money Laundering (AML) and cybersecurity programs.

What You'll Do:

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• Oversee the branch exam process, ensuring coordination with external vendors, quality assurance, and adherence to compliance tracking.
  
• Conduct thorough internal testing of business units to ensure alignment with supervisory procedures and regulatory standards.
  
• Identify and assess risk areas, actively contributing to ongoing risk assessment initiatives.
  
• Assist in the development and enhancement of written procedures and supervisory policies.
  
• Support the preparation of regulatory reports, including FINRA 3120/3130 and SEC 206(4)-7 filings.
  
• Collaborate with various departments to address compliance issues and serve as a key point of escalation for branch exam matters.
  
• Play a role in the implementation of the firm's AML and Cybersecurity programs.
  
  
  What You Bring:
  
  
  • 
    
  • Current or lapsed (and eligible for reactivation) Series 7 and Series 24 licenses.
    
  • 2+ years of auditing experience within a broker/dealer environment.
    
  • 5+ years of overall experience in the financial services industry.
    
  • Strong knowledge of Broker/Dealer and Investment Advisory regulations.
    
  • Proficiency in Microsoft Office applications (Word, Excel, Outlook).
    
  • Familiarity with FINRA, SEC, MSRB, AML, and Cybersecurity rules and processes.
    
  • Proven ability to manage external vendors and effectively engage with multiple internal stakeholders.
    
    
    This is an exceptional opportunity to leverage your expertise in compliance and risk management within a leading financial services firm. If you are ready to take the next step in your career, consider this chance to make a meaningful contribution to a dynamic team.
    
    
    MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at hr@themohrgrp.com

Keywords: Mohr Talent, Austin , Senior Compliance Analyst - Branch Oversight & Risk Testing, Professions , Austin, Texas