Compliance Analyst

Compliance Analyst

Cantella is seeking an experienced Compliance Analyst to play a key role in maintaining and strengthening our regulatory and operational oversight. This position is responsible for conducting regular branch audits, providing supervisory compliance support, and serving as a trusted resource for our financial advisors. The ideal candidate brings deep knowledge of independent broker-dealer operations, with specific expertise in National Financial Fidelity and Pershing platforms, along with strong product knowledge.

As an ambassador of advisor relationships, the Compliance Analyst will foster trust and collaboration while ensuring adherence to regulatory standards. This role requires travel to branch locations, as well as consistent presence at our Malden, MA home office at least two days per week. Success in this role demands exceptional attention to detail, clear communication, and the ability to work both independently and as part of a team in a fast-paced, regulatory-driven environment.

Essential Duties

• Conduct frequent on-site branch audits to ensure compliance with regulatory standards and firm policies. Branches are heavily east coast based, but have do have branches across the US.
• Identify audit findings, recommend corrective actions, and follow up on remediation plans.
• Serve day-to-day supervision responsibilities as well as audit responsibilities
• Email review
• Trade review
• New account approvals including variable annuity approvals.
• Work with financial advisors to troubleshoot compliance issues should they arise
• Collaborate with branches and internal departments to ensure timely issue resolution and process improvements.
• Support the development and maintenance of compliance policies, procedures, and internal controls.
• Assist with regulatory inquiries, internal reviews, and audits by FINRA / SEC as needed.
• Stay up to date on changes in regulatory requirements and industry best practices.

Education & Experience

The ideal candidate would possess an intermediate level of experience, typically around 7 or more years, with compliance supervision, external audit, or a related field within the financial services industry.

Certificates & Licenses

Financial Industry Regulatory Authority (FINRA) Series 7, Series 24, Series 63, and Series 65 or Series 66 licenses are required. Valid U.S. drivers license is required.

Preferred Skills

Experience with custodians such as National Financia and Pershing platforms is required. Candidates must also have demonstrated experience across both operational and compliance functions within an independent broker-dealer and SEC-registered RIA environment.

Benefits : Cambridge has competitive benefits and promotes a work / life balance to encourage individual success.