Senior Compliance Analyst

Job overview

The Senior Compliance Analyst role is hybrid in Irving, TX: in office Monday through Wednesday, with the option to work from home Thursday and Friday. Compensation is not specified. The role supports compliance programs for the company’s broker-dealer, affiliated advisers, and fund family. Reporting to the Chief Compliance Officer, the analyst helps administer regulatory compliance programs and supports adherence to securities laws and FINRA requirements. The work includes reviewing communications and disclosures, maintaining records, supporting registrations and training, and helping implement regulatory changes.

What you'll do

• Review marketing materials, sales literature, and promotional activities for FINRA and SEC compliance
• coordinate required FINRA filings
• assist with broker-dealer policies and written supervisory procedures
• support registration, licensing, and continuing education
• review registered representative communications and activities
• review fund registration statements, prospectuses, and shareholder communications
• maintain books and records
• support regulatory change implementation and compliance training
• and participate in cross-functional compliance projects.

What we're looking for

Skills & competencies

senior compliance analyst

compliance

asset management

broker-dealer

finra

sec

securities regulation

hybrid

irving tx

american beacon partners

monday–wednesday in office

thursday–friday work-from-home option

series 6 or series 7

Work arrangement

• Weekend coverage required

About the employer

(DBA) American Beacon Partners is hiring for this role. Industry: Unclassified (placeholder). Sector: 99.