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Kingswood U.S. · 1 day ago

Compliance Analyst

SD Metro Area

Full-time

Hybrid

Mid, Senior Level

Kingswood U.S. is a diversified financial services firm focused on delivering sophisticated wealth management and investment banking solutions. They are seeking an experienced Compliance Analyst to support the broker-dealer compliance program and ensure adherence to regulatory requirements.

AdviceFinanceFinancial ServicesWealth Management

Responsibilities

Support the firm’s broker-dealer compliance program and ensure ongoing adherence to FINRA, SEC, and other applicable regulatory requirements

Conduct compliance reviews, testing, and surveillance of firm activities and registered representatives

Assist with regulatory examinations, audits, and inquiries, including preparation of responses and follow-up remediation

Review, maintain, and enhance written supervisory procedures (WSPs), policies, and internal controls

Identify compliance risks and recommend practical, business-aware solutions

Coordinate with operations, supervision, legal, and senior management to ensure consistent regulatory compliance

Communicate with regulators, internal stakeholders, and leadership in a clear, professional manner

Qualification

FINRA Series 7 licenseBroker-dealer compliance experienceFINRA rulesFINRA Series 24 licenseRegulatory exams experienceAnalytical skillsProfessional judgmentCommunication skillsDetail-oriented

Required

FINRA Series 7 license (required)

Substantial, hands-on broker-dealer compliance experience (FINRA member firm experience required)

Strong working knowledge of FINRA rules, SEC regulations, and broker-dealer supervisory frameworks

Proven experience supporting audits, regulatory exams, and compliance testing

Excellent analytical skills with the ability to identify risk and apply regulatory requirements to real-world business scenarios

Strong written and verbal communication skills, including the ability to draft policies, memos, and regulatory responses

Preferred

FINRA Series 24 strongly preferred, or a demonstrated ability and commitment to obtain the Series 24 shortly after hire

Bachelor's degree in Finance, Business Administration, Compliance, or a related field

Experience working with compliance systems, surveillance tools, and regulatory reporting platforms

Highly detail-oriented, organized, and capable of managing multiple priorities in a fast-paced environment

Professional judgment, discretion, and a strong compliance mindset

Company

Kingswood U.S.

Kingswood U.S. empowers our clients to navigate the complexities of the financial landscape with confidence.

New York, New York, USA

51-200 employees

https://kingswoodus.com

Funding

Current Stage

Growth Stage

Leadership Team

Michael Nessim

CEO and Managing Partner

Recent News

FX News Group

FINRA imposes $150k fine on Kingswood Capital Partners

2025-12-15

Newsfile

Kingswood U.S. Expands Investment Banking Capabilities and Deepens Existing Alliance with ArcStone Securities, LLC with Equity Stake and Enhanced 2026 Strategy

2025-12-11

PR Newswire

LEIFRAS Co., Ltd. Announces Listing on the Nasdaq Capital Market in the U.S.

2025-10-10

Company data provided by crunchbase