Description Our client, a mid-sized broker-dealer based in San Diego, CA, is seeking a Compliance Analyst to join their dynamic team. This position plays a critical role in ensuring the firm’s compliance with financial regulations and internal policies, protecting the integrity and ethical standards of the organization. Key Responsibilities: + Monitor and maintain compliance with FINRA, SEC, and other applicable regulatory standards governing broker-dealers. + Conduct ongoing reviews and audits of internal processes, policies, and transactions to detect and address potential compliance issues. + Assist with regulatory reporting, including the preparation and submission of key reports, disclosures, and filings. + Serve as a resource to registered representatives and staff, providing guidance on compliance-related inquiries. + Review marketing and advertising materials for regulatory compliance. + Support the development and delivery of compliance-related training and education programs for employees. + Collaborate with internal departments, including legal and operations, to ensure compliance protocols are integrated into company processes. + Stay informed on updates to securities regulations and industry best practices, incorporating changes into company compliance procedures as needed. Requirements + Previous experience in broker-dealer compliance is mandatory, with a strong understanding of financial services regulations, including FINRA/SEC rules. + Active Series 7 and Series 66 licenses (or equivalent) are required. + Bilingual (Spanish) required + Exceptional analytical skills and attention to detail to identify and mitigate compliance risks. + Proficiency in reviewing and interpreting regulatory documents and guidance. + Excellent communication skills to effectively relay compliance matters to internal and external stakeholders. Preferred Attributes: + Demonstrated ability to build strong relationships with regulators and internal staff at various levels. + Experience in monitoring broker-dealer activities, including trading, advertising, and supervisory processes. + Strong organizational skills with the ability to prioritize tasks and meet strict deadlines. What We Offer: + Competitive salary and benefits package. + A collaborative team environment with opportunities for professional growth. + A company culture that values integrity, innovation, and compliance excellence. Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles. Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more. All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information. © 2025 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use (https://www.roberthalf.com/us/en/terms) .