Compliance Analyst - Broker Dealer

The Broker Dealer (BD) Compliance team is responsible for helping ensure the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal partners and field personnel on the broker dealer policies and procedures as well as the rules and regulation that apply to our highly regulated industry. We partner with business teams and the field to to identify compliant solutions where possible and provide education on the reasoning and risks when a requested approach is not possible.