Compliance Analyst

Company OverviewKingswood 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 Qualificat