Compliance Analyst

Company Overview

Kingswood U.S. is a diversified financial services firm focused on delivering sophisticated wealth management, advisor support, and investment banking solutions. We serve high-net-worth individuals, families, and institutions through customized portfolio management, retirement and estate planning, tax-aware strategies, and risk management. Kingswood also provides financial advisors with robust broker-dealer and RIA infrastructure, compliance support, and access to a broad product platform. Our investment banking group offers tailored advisory services across mergers and acquisitions, capital raising, and strategic transactions. We combine a boutique, high-touch approach with institutional capabilities and a strong regulatory culture.

Position: Compliance Analyst (Broker-Dealer Focus)

Kingswood U.S. is seeking an experienced
Compliance Analyst
to join our compliance team. This is a full-time, hybrid role based in the
San Diego Metropolitan Area
, with some flexibility for remote work.

This position is
not entry-level
. Candidates must have
direct, relevant broker-dealer compliance experience
. Applicants without meaningful BD compliance experience should not apply.

Key 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

Required Qualifications (Mandatory)

• FINRA Series 7 license (required)
• FINRA Series 24 strongly preferred
  , or a demonstrated ability and commitment to obtain the Series 24
  shortly after hire
• 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 Qualifications

• 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

Important Note

This role requires
direct broker-dealer compliance experience and active FINRA registration
. Candidates without relevant BD compliance background or without a Series 7 license should not apply.

Kingswood U.S. offers a collaborative environment, exposure to senior leadership, and the opportunity to play a meaningful role in a growing, compliance-driven organization.