Compliance Analyst

Company Description Colorado Financial Service Corporation, based in Centennial, Colorado, is a nationally focused introducing broker-dealer registered with the U.S. Securities and Exchange Commission. The firm is a member of both the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Branch offices and registered representatives operate across the country, with a strong presence in Colorado. The organization offers a professional environment for individuals interested in compliance and financial services within a regulated, nationwide framework.Role Description The Compliance Analyst is a full-time, on-site role based in Centennial, CO. This position is responsible for monitoring and reviewing broker-dealer activities to ensure adherence to SEC, FINRA, SIPC, and internal compliance requirements. Day-to-day tasks include: Assist in the monitoring and review of email correspondence, Assist with review and approval of securities transactions, Review and maintain monthly and annual Registered Reps reports, Assist and coordinate with conduct of branch audits, Archive and review broker personal investment transactions (407 letter requirements), Address representative compliance, operational, and, product related questions, Participate in firm strategic initiatives and projects, Assist with Firm Element and Continuing Education Assignment and Training.QualificationsSeries 7 and 24 licensing (Series 4, 65 or 66 appreciated)Minimum of 3 years of Broker Dealer experience.Strong regulatory compliance knowledge, including familiarity with SEC and FINRA rules.Demonstrated analytical skills for reviewing transactions, reports, and audit findings.Effective communication skills for working with internal teams, branch offices, and registered representatives.Foundational understanding of finance and broker-dealer operations.High attention to detail, sound judgment, and ability to manage multiple priorities in a regulated environment.Proficiency with standard office software and comfort working with data and reporting tools.What to Expect?The expected salary range for this particular position is $60,000-$80,000 commensurate on experience.Company paid health coverage.401k profit sharing plan.PTO.Position may be eligible to receive quarterly/annual discretionary bonuses based on company profits.This is On-Site position.