Compliance Operations Analyst

Role Overview

• Serve as a first‑line resource for employee compliance inquiries, providing guidance on policies, procedures, and regulatory requirements or escalating matters as appropriate.
• Manage and monitor incoming requests through the firm’s compliance ticketing system, ensuring timely intake, tracking, resolution, and documentation.
• Route inquiries to appropriate compliance team members and follow up to ensure completion and proper recordkeeping.
• Develop competency and expertise in compliance software and systems used to support the compliance operations function.
• Maintain logs and metrics related to compliance inquiries and issue resolution.
• Support the onboarding, offboarding, and ongoing maintenance of employee registrations, including preparation and processing of Form U4, U5, and amendments, as applicable.
• Coordinate with Human Resources, Legal, and external partners to ensure timely and accurate registration filings.
• Track employee licensing, registrations, continuing education requirements, and related attestations.
• Assist with firm-level registrations and notice filings across all 50 states, as applicable.
• Assist with the preparation, maintenance, and submission of regulatory filings, including Form ADV (Parts 1, 2A, and 2B) and other periodic or event-driven filings.
• Maintain supporting documentation for regulatory filings and compliance activities in accordance with record retention requirements.
• Monitor regulatory calendars to ensure required filings and updates are completed accurately and on time.
• Assist with responses to routine regulatory inquiries and information requests.
• Assist with administration of the firm’s compliance program, including policies and procedures, training tracking, and compliance documentation, and code of ethics administration.
• Support preparation for SEC examinations and state regulatory reviews, including document collection and tracking of examiner requests.
• Stay current on regulatory developments affecting investment advisers and escalate relevant changes to senior compliance staff.
• Perform additional compliance‑related duties and special projects as assigned.

Requirements

• Bachelor’s degree required.
• 1–3 years of experience in a compliance, regulatory, or operations role within an investment adviser, broker-dealer, or financial services firm.
• Working knowledge of SEC investment adviser regulations and state registration requirements.
• Preferred, but not required, to have experience with FINRA Gateway system as it is utilized for investment adviser registration activities.
• Strong organizational skills and ability to manage multiple priorities in a deadline-driven environment.
• High attention to detail with strong documentation and follow-through skills.
• Professional and responsive communication style when interacting with employees and stakeholders.
• Ability to exercise sound judgment and escalate issues appropriately.
• Proficiency in Microsoft Excel, Word, Outlook, and PowerPoint; experience with compliance tracking or ticketing systems a plus.

Benefits

• Company Paid Basic Life & AD&D Insurance
• Company Paid Short-Term and Long-Term Disability Insurance
• Supplemental Life & AD&D; Short-Term Disability; Accident; Critical Illness; and Hospital Indemnity Insurance
• Three Cigna medical plans offerings including two High Deductible Health Plans and a Traditional Co-Pay medical plan.
• Kaiser Medical plans available in California
• Health Savings Account (HSA) with company contributions if enrolled in either HDHP medical plan.
• Two comprehensive Dental Plans
• Vision Insurance Plan
• Dependent Care Savings Account for child and dependent care.
• 14 Company Paid Holidays including a full week off at Thanksgiving.
• Generous paid time off program for vacation and sick days
• Employee Assistance Plan
• Family Medical Leave
• Paid Parental Leave (8 weeks)
• Maternity benefits utilizing company paid STD, any supplemental STD, plus Parental Leave (8 weeks) to provide time for recovery, baby bonding, and enjoying your family time.
• Adoption Assistance Reimbursement Program
• Company Paid Concierge Services for you and your loved ones for the spectrum of caring needs for your aging parents, young children, life’s challenges and more.
• 401(k) Retirement Plan with both Traditional and Roth plans with per pay period match as well as an after-tax option
• Pet Insurance