Compliance and Security Analyst

Tactex Recruiting Advisors is a recruiting company, and we're working on behalf of a Client Firm who's looking for a talented and high-character Compliance and Security Analyst.

• Do you have at least 3-5 years of proven experience in compliance, audit, cybersecurity, IT governance, or similar?

• Do you feel comfortable navigating BOTH financial regulatory and technical environments?

• Do you have familiarity with SOX and FINRA rules related to information security, such as Regulation S-P, and cybersecurity risk management?

• Do you have the ability to see where the control gaps are, and where to make process improvements?

• Do you have strong communication skills? Do people enjoy communicating with you?

Then you might be the perfect fit!

As the new Compliance and Security Analyst, your primary responsibility will be to support the firm’s compliance program with a dedicated focus on information security, technology governance, and regulatory requirements related to data protection. This role works closely with Compliance, IT, Operations, and external service providers to help ensure the firm maintains a robust cybersecurity posture, adheres to applicable SEC, FINRA, and other applicable regulatory requirements, and implements effective controls to safeguard customer information. The ideal candidate is detail oriented, analytical, and comfortable navigating both regulatory expectations and technical environments.

Want to join a growing company with a solid, high-character team that treats you well?

At Tactex Recruiting Advisors, we've had a 4+ year relationship with this Client, and can vouch for their character and culture. They're different than most companies who *say* they live by their values. This Client Firm truly cares for their people, they have an outstanding vision and mission, and they treat their people with kindness and respect.

Pay range: $95-105k

Location: 100% Remote.

Responsibilities:

• Support SEC regulatory requirements for FINRA and SOX, including responding to regulatory requests, documentation reviews, and ongoing compliance monitoring.
• Support SOX compliance efforts, including performing control testing, validating evidence, and documenting results in coordination with business system owners.
• Collect, review, and track external audit requests, ensuring timely and accurate responses to auditors and regulatory bodies.
• Collaborate with your Team Lead, business system owners, and the Compliance team to identify process improvements and strengthen compliance and control environments.
• Draft, maintain, and publish policies and procedures related to compliance, risk management, and cybersecurity governance.

Browse our curated collection of remote jobs across all categories and industries, featuring positions from top companies worldwide.

• Coordinate and participate in meetings with internal teams, auditors, and external partners as required to support compliance initiatives and regulatory readiness.
• Assist in designing and implementing a cybersecurity framework aligned with company strategy, industry standards, and regulatory expectations.
• Support the development and maintenance of a risk management program, including risk identification, assessment, mitigation planning, and tracking.
• Maintain documentation and evidence to support regulatory examinations, audits, and internal compliance reviews.
• Participate in cybersecurity risk assessments, incident response activities, and periodic testing (e.g., penetration tests, vulnerability scans, tabletop exercises, etc.).
• Assist in preparing regulatory filings, responses to regulatory inquiries, and documentation for examinations related to cybersecurity or IT controls.
• Assist with cybersecurity training, phishing simulations, and staff awareness initiatives.
• Support third party vendor due diligence and ongoing monitoring for cybersecurity and data handling practices.

Requirements:

• Bachelor’s degree in a related field (e.g., business, finance, accounting, information systems, cybersecurity, or related discipline) or equivalent experience.
• 3-5 years of experience in compliance, audit, cybersecurity, IT governance, or a related function, preferably within financial services.
• Familiarity with SOX and FINRA rules related to information security, including Regulation SP, and cybersecurity risk management expectations.
• Understanding of cybersecurity best practices and applicable regulations (e.g., access controls, network security, incident response, encryption, vulnerability management).
• Excellent written, documentation, and communication skills with attention to detail.
• Strong analytical and organizational skills with the ability to identify process improvements and control gaps.
• Must be able to pass a comprehensive background check.