Compliance Analyst / Supervision Principal

COMPLIANCE ANALYST - SUPERVISION

LOCATION Des Moines, Iowa | Onsite

COMPENSATION & SCHEDULE
* Salary: $100,000-$120,000 annually
* Schedule: Full-time
* Employment Type: Direct Hire

ROLE IMPACT

Join a growing financial services firm as a Compliance Analyst - Supervision and help shape a differentiated broker-dealer and investment adviser compliance program. This ground-floor opportunity offers direct exposure to experienced leadership and the ability to influence supervisory processes, regulatory compliance, and risk management. You will oversee registered representatives and investment adviser representatives (IARs), serve as a key home office resource, and help maintain a strong culture of regulatory accountability.

KEY RESPONSIBILITIES

* Supervise registered representatives and investment adviser representatives, identifying, monitoring, and escalating sales practice concerns, conflicts of interest, and other regulatory risks.

* Review and approve written and electronic correspondence, trade blotters, outside business activities (OBAs), private securities transactions (PSTs), political contributions, personal securities accounts, and trading activity.

* Develop and maintain Written Supervisory Procedures (WSPs), desktop procedures, compliance manuals, and reference guides while providing supervisory reports to the Chief Compliance Officer (CCO).

* Support broker-dealer and registered investment adviser (RIA) compliance testing under SEC Rule 206(4)-7 and FINRA Rule 3120, including regulatory change management and policy updates.

* Develop compliance training materials, track completion, monitor outside brokerage account activity, and collaborate across teams on supervisory initiatives and special projects.

MINIMUM QUALIFICATIONS

* Active FINRA Securities Industry Essentials (SIE), Series 7, and Series 24 registrations required; ability to obtain Series 4 and Series 53 registrations within 12 months.

* Minimum 5 years of experience in broker-dealer and investment adviser operations, supervision, or regulatory compliance, including knowledge of FINRA and SEC supervisory requirements.

* Bachelor's degree or equivalent combination of education and relevant experience; strong written and verbal communication, sound judgment, integrity, and ability to manage multiple priorities independently.

CORE TOOLS & SYSTEMS

* FINRA and SEC regulatory compliance frameworks * Written Supervisory Procedures (WSPs) and compliance monitoring systems * Trade surveillance, correspondence review, and brokerage account monitoring * Microsoft Office: Excel, Word, PowerPoint, and Outlook * Broker-dealer and RIA operations platforms

PREFERRED SKILLS

* Experience with Pershing, Charles Schwab, and Fidelity brokerage or custodial platforms.

* Familiarity with variable annuities, variable life insurance products, and related supervisory requirements.

* Collaborative, proactive approach with an interest in helping build and improve compliance programs within a growing financial services organization.