Finance role
Broker-Dealer and RIA (Registered Investment Adviser) Compliance Analyst Recruiters
Financial Headhunters: Maintain regulatory records and review trade logs for internal oversight
This is what we do all day: recruit accounting, finance, banking and insurance professionals.
No upfront fee. You pay only if you hire.
Need someone now? Call 954-280-9139.
We offer a candidate replacement guarantee on standard search agreements. The applicable period and exact terms are set out in the signed client recruiting agreement.
- Controller
- CFO
- VP Finance
- FP&A Director
- Accounting Manager
- Director of Accounting
- Assistant Controller
- Tax Director
- Treasury Manager
- Internal Audit Director
- Senior Accountant
- Financial Analyst
- Head of Financial Reporting
- Commercial Lender
- Chief Credit Officer
- Business Systems Finance Lead
- No upfront fee
- Pay only if you hire
- Accounting, finance, banking and insurance
- We reach people who aren’t on job boards
- Replacement terms on standard searches
01
What does this hire really come down to?
This role focuses on internal surveillance and regulatory recordkeeping. The hire spends their day auditing trade logs and reviewing electronic communications for policy breaches. Who approves the adjustment when a trade log shows a policy breach?
Expect the hire to draft reports based on firm policies and industry rules. They handle the administrative side of exam preparation for broker-dealer and RIA entities. They must be comfortable telling senior staff when a process fails to meet current SEC or FINRA requirements.
Ask candidates: Can you explain how you document a supervisory review for an email archive? Tell me about a time you found a discrepancy in a trade blotter during a routine audit. How do you decide when a personal trading conflict requires escalation to the CCO?
Define the responsibilities of this role before we interview. Ask candidates to walk you through their process for manual trade surveillance versus automated systems. If they cannot describe the data fields they pull from a custodian portal, they have not done the work themselves. Demand evidence of their involvement in an SEC or FINRA exam. Ask them to identify an error they caught and how they documented the correction in the firm manual. If they only speak in generalities, stop the interview. You are looking for a technician who understands how a trade blotter maps to a regulatory filing. Ask how they handle a conflict between a firm policy and a new rule. A good answer includes the specific steps they take to escalate the issue. Decide if you prioritize reporting speed or deep investigative capability. Candidates usually move because their current firm relies on outdated manual tools. Confirm they can write rule logic without an external vendor. This is a practical, hands-on position requiring competence with documentation and workflow.
- 01Check their history with specific SEC and FINRA audit cycles to see how they manage the pace of exam preparation.
- 02Review their history with trade surveillance software to verify they write rules and alerts independently without IT support.
- 03Assess their ability to handle custody-level account paperwork to understand how operational data flows into compliance reporting.
- 04Check their specific experience with Form ADV updates and maintenance of internal compliance manuals.
- 05Review their track record of managing branch office audits or remote supervisor oversight programs.
- 06Validate their knowledge of anti-money laundering and know-your-customer protocols by asking for specific workflow examples.
02
Where do we find them?
We recruit from mid-sized independent broker-dealers and RIAs where staff handle multiple regulatory functions. These individuals often look for new roles because their current firm lacks clear internal growth paths for back-office personnel or because they want to work with different custodian platforms.
Look for backgrounds in operations or trading where the candidate moved into compliance because they possess a strong understanding of firm workflows. We also consider those currently working in legal or audit firms who seek the stability of an in-house environment.
We begin by defining the exact surveillance volume and regulatory filing frequency your firm requires to avoid mismatching your workload with the wrong person. Before you see a candidate, we verify their specific experience with the custodian portals your firm uses. We ask if they have managed a firm-wide transition of surveillance software or if they have spent years working within one static platform. You must choose between a candidate who provides fast turnaround on routine daily alerts or one who builds complex investigative workflows to uncover deep patterns. We require evidence that they know which data fields pull from which custodian system and how they fix data gaps. If they cannot explain the path from an initial trade flag to a finalized regulatory report, they will not be able to function in your environment.
- 01Overlooking inconsistent trade surveillance reports during the interview process.
- 02Ignoring a candidate's inability to communicate regulatory changes to non-compliance staff.
- 03Hiring someone with only legal theory who lacks practical experience with custodian data exports.
03
What should we discuss first?
We identify relevant candidates using specific experience markers in surveillance, regulatory filings, and internal auditing.
We qualify those who can discuss specific SEC and FINRA rules as they apply to daily firm operations.
We present candidates for your final decision based on their technical fit for your specific broker-dealer or RIA structure.
- 01Source candidates with direct exposure to broker-dealer and RIA regulatory frameworks.
- 02Vet candidates through targeted interviews regarding audit preparation and trade monitoring.
- 03Finalize placements based on your review of the candidates' technical testing and background.
How your Broker-Dealer and RIA Compliance Analyst search runs
From the opening to the start
Tell us who you need
Tell us about the job, your team and the experience you need.
We find and contact people
We research suitable people and speak with them about the job and their interest.
You meet the strongest candidates
We introduce candidates with relevant experience and explain why each could fit.
We help you complete the hire
We help with interview feedback, the offer and arrangements for the start.
Questions people ask
Do I pay for this search before you find someone to audit my logs?
No upfront fee. You pay only if you hire.
How do you distinguish between RIA and broker-dealer experience?
We filter candidates based on their specific experience with SEC versus FINRA oversight requirements. We verify their comfort with the distinct reporting forms and audit styles associated with each entity type.
Is this a remote position?
Yes, if your firm allows remote compliance monitoring. We qualify candidates based on their history of working in distributed teams and their comfort with cloud-based surveillance software.
Do you offer contract or interim placements?
We provide permanent contingency recruiting as our default. We can handle contract or temp-to-perm engagements upon request with terms defined for each specific project.
When will we meet candidates?
Timing depends on the requirements, location and pay. We discuss the likely obstacles after learning about the job and keep you informed as the search progresses.
How do you handle counteroffers?
We discuss why candidates want to move and what might make them stay. If a counteroffer comes up, we help both sides work through the decision without making promises for either party.
What is your guarantee?
We offer a candidate replacement guarantee on standard search agreements. The applicable period and exact terms are set out in the signed client recruiting agreement.
Start a search
Tell us about the seat.
No upfront fee. You pay only if you hire.
We offer a candidate replacement guarantee on standard search agreements. The applicable period and exact terms are set out in the signed client recruiting agreement.
Not ready to start a search?
Get a practical read on the talent market or the job description. No fee or obligation.
What does the published pay data show?
$80,730 national annual median. SOC 13-1041: Compliance Officers.
BLS reports Broker-Dealer and RIA Compliance Analyst within a broader occupation. It does not publish separate wages for this exact title, credentials, seniority or industry. Compare the listed SOC duties with your actual role before using this range.
Source: U.S. Bureau of Labor Statistics, Occupational Employment and Wage Statistics, May 2025. Released 2026-05-15. This is not a separately measured salary for this exact title.
Read the full salary guide