What are the responsibilities and job description for the Broker Dealer Compliance Analyst position at Banco de Credito e Inversiones?
JOB SUMMARY
The Broker Dealer Compliance Analyst supports the firm’s Compliance Program by helping ensure the firm meets all applicable federal securities laws, FINRA rules, and internal policies. This role is hands-on and cross-functional, requiring close interaction with operations, trading, sales, and management. The Broker Dealer Compliance analyst will also play a key role in helping to create, develop, administer, and execute the firm’s overall compliance framework.
DUTIES OF THE POSITION
Compliance Framework Development & Administration:
• Assist in designing and developing the firm’s compliance framework, including policies, procedures, controls, and risk assessments.
• Partner with the CCO to identify regulatory risks and develop mitigation strategies, ensuring the framework evolves with regulatory changes and business growth.
• Help administer the framework on a day-to-day basis, ensuring testing schedules, reporting protocols, and escalation procedures are clearly documented and followed.
• Support the execution of compliance monitoring plans, including tracking key performance indicators (KPIs) and reporting to senior management and governance committees.
• Contribute to continuous improvement initiatives, identifying gaps or inefficiencies and recommending enhancements.
Regulatory Monitoring & Testing:
• Assist in monitoring FINRA, SEC, and other regulatory due dates; assist in implementing new requirements.
• Support the collection and submission of documentation for internal and external audits as well as regulatory exams.
Policies & Procedures:
• Assist in drafting, updating, and maintaining the firm’s Written Supervisory Procedures (WSPs) and compliance manuals.
• Assist in developing internal guidance and training materials that reflect the evolving compliance framework.
Surveillance & Reporting:
• Support the monitoring of company rules and policies to maintain compliance with firm standards and regulatory requirements.
Compliance Support to Business Units:
• Provide day-to-day guidance to financial advisors, operations staff, and management regarding rules, firm policies, and best practices.
Recordkeeping & Documentation:
• Maintain required books and records in accordance with firm and regulatory rules and policies.
• Support tracking and documenting all testing, findings, and remediation efforts.
Training & Awareness:
• Support coordination of annual compliance meetings, continuing education programs, and required employee training.
THE DUTIES OF THE CROSS FUNCTIONAL – INTERPERSONAL SKILLS REQUIREMENTS
• Strong analytical, organizational, and written communication skills; comfort working in a small team environment Detail-oriented with ability to manage multiple projects.
• Demonstrate sound professional judgement and strong analytical skills, with the ability to gather and synthesize information to identify issues, trends and opportunities.
• Skilled in conducting through analyses and presenting data in clear, meaningful formats to support decision making.
• Strong interpersonal skills and the ability to explain regulatory requirements to non-compliance staff.
• Proactive, resourceful, and able to work independently while supporting the CCO.
COMPLIANCE RESPONSIBILITIES
In the performance of their duties, all Bci Securities staff members are required to comply with all state and federal regulatory and legal requirements, including the brokerage Rules and Acts. Additionally, all staff members must comply with Bic’s Personnel Manual and Code of Ethics and other policies of Bci which are either currently in place or which may become effective during the staff member’s employment
PRE-HIRE REQUIREMENTS FOR THIS POSITION
• Bachelor’s degree in Finance, Business, or related field (or equivalent experience).
• 2–5 years’ experience in securities compliance, operations, or audit—broker-dealer experience preferred.
• General knowledge of FINRA, SEC, and anti-money laundering (AML) regulations.
• Series 7, 24, or 4 preferred (or ability to obtain within a defined timeframe).
• Strong analytical, organizational, and written communication skills; comfort working in a small team environment.
Bci is an Equal Opportunity Employer - All qualified applicants will receive consideration without regard to race, color, religion, gender, national origin, age, disability, veteran status, or any other factor determined to be unlawful under applicable law.