Business Unit & Product Compliance Analyst, Specialist

Job Description

• Regulatory Engagement & Tracking: Maintain and track regulatory inquiries, submissions, and correspondence, in an organized and consistent manner to ensure timely, accurate responses and alignment with compliance requirements and regulatory expectations.
• Reporting & Documentation: Maintain a repository of past regulatory responses, and exam reports; support knowledge sharing across compliance and business teams. Prepare and distribute regular reports summarizing regulatory interactions, including status updates, key themes, and emerging issues.
• Business Partner Communication: Act as a liaison to business units to communicate regulatory expectations and response strategies in clear, actionable terms.
• Process Coordination: Support the development and refinement of workflows for regulatory response and issue tracking.
• Meeting & Task Support: Lead coordination of meetings with regulators and internal teams; track follow-up items and ensure accountability across departments.
• Cross-Functional Collaboration: Collaborate to align messaging and ensure consistency in regulatory responses; participate in task forces or working groups as needed.

• Able to contribute to team direction and influence outcomes through collaboration and communication.
• Exhibits exceptional organizational skills and attention to detail, critical for managing regulatory inquiries, tracking response deadlines, and ensuring the accuracy and completeness of submissions to oversight bodies.
• Skilled at reviewing and summarizing information to support clear and concise messaging.
• Comfortable presenting project updates and contributing to discussions around recommendations and outcomes.
• Works well in team-oriented environments; dependable team player who supports group goals and contributes to shared success.
• Proactive and motivated self-starter with a strong sense of responsibility and commitment to meeting goals.
• Demonstrates professionalism, reliability, and a positive attitude in the workplace.
• Maintains high standards of integrity, ethics, and confidentiality.

• Minimum of three to five years relevant work experience, regulatory, compliance, or investment experience preferred.
• Undergraduate degree or equivalent combination of training and experience.
• Excellent communication skills with the ability to independently engage with regulators, senior management, and internal teams.
• Strong organizational and communication skills.
• Attention to detail, with the capability to manage complex regulatory reporting and documentation requirements.
• To be successful in this compliance role, candidates should either possess or demonstrate a willingness to obtain FINRA licenses (e.g., Series 7, 24).