perform onboarding due diligence for Registered Investment Advisors
monitor compliance program efficiency and accuracy
perform ongoing monitoring and analysis of the firm's investment adviser representatives
assist with annual testing of compliance policies and procedures
prepare and submit license registrations to regulatory agencies
maintain ADV 2B documents
monitor reportable Outside Business Activities for potential conflicts of interest
assist with communication of continuing education requirements
conduct research of state and federal statutes

good understanding of regulatory requirements for Registered Investment Advisors
ability to interpret new rules and communicate guidelines clearly
self-motivated with excellent time and project management skills
strong communication skills (verbal/written)
high attention to detail and strong problem-solving skills
previous experience with FINRA regulatory filing system preferred
ability to adapt to a rapidly changing business and technology environment
undergraduate degree in business, finance, economics, accounting, or related field
2+ years of experience in financial services; experience in investment advisor compliance considered a plus

Compliance Analyst

Key skills