Compliance Analyst

Role Overview

• Assess, develop, implement, and ongoing maintenance of compliance programs in accordance with SEC, FINRA, and applicable state regulations.
• Conduct and own ongoing monitoring, reviews, and testing of business activities to identify potential compliance risks and issues.
• Help lead the Compliance and Operations teams with the preparation, review, and timely filing of regulatory reports and disclosures, including Form ADV, Form CRS, FINRA filings, and state regulatory submissions.
• Support regulatory examinations, audits, and inquiries by preparing documentation, responding to requests, and coordinating with internal compliance stakeholders.
• Review marketing, advertising, and client communications for regulatory compliance, and support RIA leadership with go-to-market initiatives.
• Support compliance with corporate policies and programs, including but not limited to insider trading, RFPs, business continuity planning (BCP), records retention, and anti-bribery and anti-corruption requirements.
• Help lead the administration, monitoring, and ongoing effectiveness of corporate compliance policies and programs across business units.
• Support and enforce the codes of ethics, conflicts of interest processes, investigations, and whistleblower programs.
• Participate in enterprise risk management (ERM) and compliance risk assessments.
• Assist in the development, maintenance, testing, and documentation of internal controls related to compliance and corporate governance.
• Support Board of Directors and committee reporting, including preparation of compliance summaries, metrics, and materials.
• Assist and develop policy governance, including drafting, reviewing, updating, and distributing corporate compliance policies and procedures.

Requirements

• HS diploma or GED required; Bachelor's degree in Business, Economics, Statistics or relevant field preferred
• 3 years of relevant experience
• Must possess analytical skills
• Must be able to comprehend, manipulate and interpret statistical data
• Demonstrated ability to communicate verbally and in writing throughout all levels of organization, both internally and externally
• Proficient use of applicable technology

Benefits

• Health insurance
• 401(k) matching
• Professional development opportunities
• Paid time off