Compliance Analyst

Company: Mohr Talent
Location: Austin
Posted on: May 25, 2025

Job Description:

Job Summary:

We are seeking a detail-oriented and motivated Compliance Analyst with strong industry knowledge to support the oversight and enforcement of regulatory compliance programs. The ideal candidate brings a natural curiosity and passion for learning, thrives in structured and project-based environments, and is adaptable to evolving regulatory landscapes.

Key Responsibilities:

• 
  
• 
  Monitor, analyze, and interpret applicable regulatory requirements, including FINRA, SEC, ERISA, and Advisory rules and regulations.
  
  
• 
  Support the development, implementation, and maintenance of compliance policies and procedures.
  
  
• 
  Conduct reviews and analysis of business activities, communications, and transactions to ensure compliance with regulatory standards.
  
  
• 
  Assist with internal audits and regulatory exams by preparing required documentation and responding to inquiries.
  
  
• 
  Collaborate with departments across the organization to ensure compliance-related initiatives are aligned with business goals.
  
  
• 
  Leverage data and reporting tools to track and monitor compliance metrics and assist in identifying potential risks or trends.
  
  
• 
  Participate in special compliance projects and continuous improvement initiatives.
  
  
• 
  Maintain accurate records and documentation related to compliance efforts.
  
  
  
  Required Qualifications:
  
  
  • 
    
  • 
    FINRA Series 7 required.
    
    
  • 
    Ability to obtain FINRA Series 24 within 90 days of hire.
    
    
  • 
    Strong working knowledge of industry regulations and a commitment to ethical standards.
    
    
  • 
    Proficiency in Microsoft Excel; familiarity with Salesforce and Wealthscape is a plus but can be learned on the job.
    
    
  • 
    Excellent organizational and time management skills, with a proven ability to manage multiple tasks and meet deadlines.
    
    
  • 
    Exceptional attention to detail and analytical thinking.
    
    
  • 
    Strong communication skills, both written and verbal.
    
    
  • 
    Ability to work independently and collaboratively within a team.
    
    
    MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at hr@themohrgrp.com

Keywords: Mohr Talent, Georgetown , Compliance Analyst, Professions , Austin, Texas