BBAE Holdings LLC Compliance Analyst Plano, TX · Full time Company website

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Key Responsibilities:

• Perform daily reviews of compliance reports, alerts, and exceptions, and escalate identified issues to the appropriate Compliance or Operations personnel.
• Assist with Liveness Check reviews and evaluate results in accordance with established compliance and operational procedures.
• Cross-train as a backup for Trade Surveillance activities and assist with surveillance reviews and related investigations, as needed.
• Support broker-dealer compliance activities in accordance with FINRA, SEC, and internal supervisory policies and procedures.
• Perform risk-based reviews of securities transactions, customer accounts, and operational activities to identify potential regulatory and control risks.
• Support regulatory reporting, supervisory reviews, books and records requirements, internal audits, and ongoing compliance monitoring activities.
• Investigate compliance and operational exceptions and coordinate appropriate escalation and resolution with internal stakeholders.
• Assist with maintaining and enhancing internal compliance procedures, supervisory documentation, and related records.
• Support implementation of regulatory changes, compliance policies, and other regulatory initiatives.
• Perform other related duties as assigned by management.

Supervisory Responsibilities:

This position has no supervisory responsibilities.

Qualifications, Skills And Capabilities:

• Bachelor’s degree in finance, Economics, Business Administration, or a related field.
• Minimum of 2 years of compliance experience within a FINRA regulated broker-dealer, clearing firm, or other regulated financial services organization preferred.
• Understanding of U.S. broker-dealer operations, securities markets, and applicable FINRA and SEC regulatory requirements.
• Strong analytical and problem-solving skills with the ability to review reports, alerts, and exceptions and identify matters requiring escalation.
• Strong attention to detail and ability to maintain accurate compliance records and documentation.
• Effective written and verbal communication skills with the ability to collaborate across Compliance, Operations, and other internal teams.
• Ability to handle confidential and sensitive information with appropriate discretion.
• Ability to manage multiple priorities and meet regulatory and internal deadlines in a fast-paced environment.

Required Licenses:

• FINRA Series 7 required.
• Ability to obtain and maintain other applicable FINRA registrations and licenses within the timeframe required by the firm.

Physical Demands:

This position is primarily office-based and requires prolonged periods of sitting and working at a computer. The role involves frequent use of standard office equipment, including computers, telephones, and other office technology. Employees may occasionally stand, walk, or move throughout the office to attend meetings or collaborate with team members. Occasional lifting or moving of office materials or equipment of up to 30 pounds may be required. Specific vision abilities required for this position include close vision, color vision, and the ability to adjust focus. Occasional overtime may be required to meet business or regulatory deadlines.

Equal Employment Opportunity (EEO) Statement:

BBAE Holdings LLC is committed to providing equal employment opportunities to all applicants and employees. Employment decisions are made without regard to race, color, religion, creed, sex, sexual orientation, gender identity or expression, national origin, age, disability, pregnancy, genetic information, marital status, veteran status, or any other characteristic protected by applicable federal, state, or local law. BBAE Holdings LLC is committed to fostering a diverse, inclusive, and respectful workplace where all employees are treated with dignity and respect and have the opportunity to succeed.