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Broker-Dealer Compliance Analyst

JCW Group
York, NY Full Time
POSTED ON 4/14/2026
AVAILABLE BEFORE 5/9/2026

A leading broker-dealer firm is looking to hire a Compliance Analyst. An ideal candidate will have 1-3 years of experience in a broker-dealer compliance role. This position sits on a small team so will be a compliance generalist.


Day to day you will:

  • Assist with surveillance of firm trading activity.
  • Update firm policies and WSPs.
  • Assist with regulatory reporting and exams
  • Stay up to date on regulatory developments.


You should apply if you:

  • Have 1-3 years of broker-dealer compliance experience.

Salary : $80,000 - $100,000

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