Senior Analyst, Regulatory Advisory Compliance

Location: Owings Mills, Maryland, United States; hybrid work with up to one day per week from home.

Base salary: $87,000–$148,000 for Maryland, Colorado, Washington, and remote workers; other location-based ranges are also listed in the posting.

Company

Global asset management organization providing equity, fixed income, and multi-asset investment solutions to individuals, advisors, institutions, and retirement plan sponsors.

What you will do

• Advise senior managers and internal clients on compliance program improvements, problem resolution, work plans, documentation, and risk assessments.
• Support policy and procedure enhancements, new compliance processes, regulatory inquiries, filings, annual reviews, and examinations.
• Provide risk-based compliance guidance that supports business growth, speed to market, and daily operations.
• Lead straightforward, low-risk projects, coordinating internal and external resources, project teams, and deadlines.
• Research industry compliance issues with the legal team, assess their impact, and communicate recommendations to business units.

Requirements

• Bachelor’s degree or equivalent education and relevant experience, plus 5 or more years of relevant work experience.
• Working knowledge of regulatory requirements, compliance programs, policies, procedures, processes, and controls.
• FINRA Series 7 and Series 24 registrations are required; the Series 24 license may be obtained within six months of hire.
• Ability to interpret regulatory rules, identify risks, and propose new or enhanced controls.
• Ability to partner with business unit leadership and make decisions in a fast-paced environment.
• Experience with broker-dealers, brokerage platforms, account migration, strategic transformation, or Fully Disclosed Clearing Agreements is preferred.

Nice to have

• Knowledge of FINRA, MSRB, and SEC rules and regulations.
• Advanced proficiency in Microsoft Excel and Word.
• Experience with Microsoft Power BI and SharePoint.

Culture & Benefits

• Collaborative and inclusive work environment.
• Hybrid work schedule with limited work from home.
• Annual bonus eligibility and retirement plan.
• Health and wellness benefits, including online therapy.
• Paid time off for vacation, illness, medical appointments, and volunteering.
• Family care resources, including fertility and adoption benefits.