Compliance Analyst

About the role

You will execute the day to day compliance workload at Keystone — investor KYC, AML monitoring, communications surveillance, and quarterly attestations. This is the right seat for someone who wants to grow into a Head of Compliance role inside 3 to 4 years.

What you'll do

• Run KYC and EDD on new investor and client onboarding.
• Conduct AML transaction monitoring and file SAR drafts when triggered.
• Review broker communications, marketing, and investor materials against FINRA Rule 2210.
• Maintain compliance calendars and quarterly attestations.
• Support FINRA exams and internal audits.

What you bring

• 3+ years in compliance at a broker dealer, RIA, or fintech.
• Series 7 and 63 (we can sponsor 63).
• Familiarity with WSPs, AML rules, and FINRA marketing review.
• Detail oriented, calm under audit pressure.

Compensation & benefits

• Full health, dental, vision
• 401(k) with 4% match
• $2,000 CLE / certification budget
• Clear promotion track to Senior Analyst / Manager
• Unlimited PTO with 4-week minimum

About Keystone Markets

Keystone Markets is the investor intelligence platform for founders, banks, and capital advisors. We give 100,000+ verified investors filterable by sector, stage, check size, and geography, paired with a human broker desk that runs warm introductions. We're a small, senior team building the platform we wish existed when we were placing capital ourselves.