Sign up menu

Sr. Analyst Compliance and Testing

Advisor Group Spring, TX

Investment Advisory Compliance Opportunity in Financial Services

Sr. Analyst Compliance and Testing

Preferred Location(s):     Jersey City, Atlanta, Phoenix, La Vista, St. Petersburg

Preference is given to candidates willing to work a hybrid schedule, split between home and the office. Consideration will be given to qualified applicants seeking 100% remote work from home.


The Sr. Analyst Compliance and Testing is primarily responsible for the conducting testing of broker dealers, investment adviser and vendor relationships for all Advisor Group Wealth Management Firms as required by FINRA Rule 3130 and SEC Rule 206(4)-7. Additionally, the Sr. Analyst Compliance and Testing will support the development of the compliance testing methodology and function.


  • Conduct annual testing of broker-dealers and investment adviser as required by Rule 3130 and 206(4)-7.
  • Conduct interviews with key business unit individuals to identify and document key processes, risks, and controls.
  • Evaluate vendor annual reports and assessments.
  • Execute review assignments with established guidelines.
  • Ensure sound conclusion are reached for objectives.
  • Prepare detailed work papers to support the results of the testing program.
  • Schedule recurring updates throughout the review to present potential issues or constraints and ensure timely and transparent discussion.
  • Analyze data and perform ongoing monitoring of business to identify areas of emerging or increased risk.
  • All other duties as assigned. 

Education Requirements:

  • Bachelor's degree in Business, Finance or related discipline is preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required.

Basic Requirements:

  • 5+ years experience in in a compliance, audit, assurance, vendor management or internal control function area within a financial institution.
  • Knowledge of the retail brokerage business, fee based advisory business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.
  • Significant experience with Rule 3130 and 206(4)-7
  • Strong regulatory knowledge, understanding of business lines and risk management skills.
  • Strong verbal and written communications skills required.
  • Must be detail-oriented, investigative and can work independently.
  • Self-starter and solutions oriented.
  • Ability to prioritize key deliverables, multi-task and work well under pressure and tight deadlines.
  • Team oriented with strong interpersonal skills.
  • Excellent organizational and proficient in MS Office.

Preferred Requirements:

  • FINRA Series 7, Series 24 and Series 63 licenses are preferred.
  • Experience with Independent Broker-Dealers a plus.
  • Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933 preferred.

Why Advisor Group  

  • Competitive salary and annual bonus paid based on performance
  • Generous time off package, including paid time off, paid holidays, and paid time to volunteer in the community
  • Immediate access to extensive benefits package that includes medical, dental and vision coverage, basic life insurance, long and short-term disability coverage and much more
  • 401(k) match from day one of employment
  • Referral bonuses if we hire your referred applicants to our open positions
  • An enriching and engaging career in financial services - our employees overwhelmingly report that they find meaning and purpose in their day to day work
  • Executive leader access and interaction in all our locations due to flat structure, open office environments, town halls and speed mentoring events
Date Posted December 3, 2022
Date Closes January 2, 2023
Requisition R0002900
Address 21025 Spring Brook Plaza Dr
Located In Spring, TX
Work At Houston - Spring
SOC Category 00-0000.00

Similar Jobs

08 December ( Today )

Assistant Professor-Biomedical Sciences (JZ)

07 December ( Today )

Assistant Professor - Physical Therapy

07 December ( Today )

Pharmacy Technician - Retail - Part Time