Regulatory Response Analyst

DriveWealth is seeking a Regulatory Response Analyst to join their Regulatory Liaison Group. The ideal candidate will have experience in broker-dealer compliance, audit, or regulatory examination, and will assist the team with SEC, FINRA, and state regulatory inquiries, examinations, and sweep letters.

Requirements

• 2-3 years of direct experience in broker-dealer compliance, audit, or regulatory examination
• Demonstrated working knowledge of both FinOp (net capital, books and records), Sales Practice (supervision, AML), and Market Regulations
• Bachelor's degree in Finance, Accounting, Economics, or a related field

Benefits

• Competitive compensation
• Equity
• 401(k) match
• Full insurance coverage
• Wellness reimbursement
• Company-provided phone
• Personal development allowance
• Generous Paid Time Off
• Retirement Plan