Compliance Analyst

Job Summary

To support compliance oversight obligations, the full-time remote Compliance Analyst will perform registration and licensing duties, conduct compliance testing and reporting, and monitor the efficiency of the compliance program related to investment adviser representatives.

Key responsibilities:

• Perform onboarding due diligence, including maintaining RIA registered persons filings and disclosure documents
• Monitor and analyze compliance with policies and procedures, identifying and addressing potential violations
• Prepare and submit required license registrations and maintain accuracy of filings with regulatory agencies

Required qualifications:

• Undergraduate degree in business, finance, economics, accounting, or related field
• 2+ years of experience in financial services, with a focus on investment advisor compliance preferred
• Strong understanding of regulatory requirements for Registered Investment Advisors and IARs
• Proficiency in Microsoft Office Suite and familiarity with the FINRA regulatory filing system
• Ability to interpret new regulations and effectively communicate their impact to associates