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Compliance Analyst

2 months ago

Walnut Creek, United States Destination Wealth Management Full time

The Compliance Analyst primary function is to work directly with the Compliance team on developing, reviewing, implementing, and communicating corporate policies, procedures, trends and systems designed to enable Destination Wealth Management to effectively manage risk and remain in Compliance with current laws and regulations enacted by various regulatory authorities.


Duties and Responsibilities:

  • Compile and analyze information to perform a variety of audits on the implementation of firm policies, including but not limited to reviews of new and terminated client accounts, fee schedules and billing, investment objectives, gifting, etc.
  • Perform ongoing reviews to ensure terms outlined in formal agreements are accurately executed and ensure accuracy of data across Firm systems and databases.
  • Assist with reviewing and updating policies and procedures meant to ensure compliance with applicable laws, maintaining up to date knowledge of the Investment Advisers Act, and current SEC rules and regulations.
  • Review compliance policies, procedures and related documentation as required, communicating policies and guidelines to employees for training and education purposes.
  • Maintain the Firm’s compliance reporting software platform and support system management including but not limited to: calendar management, creating case types, generating and distributing questionnaires, etc. 
  • Assist Compliance with completion of various tasks including, but not limited to, documenting disclosure updates, reviewing policies and procedures, conducting ongoing and annual OFAC reviews, ensuring compliance with statement delivery requirements and Due Inquiry reviews, etc.
  • Assist with special project work and various legal & compliance initiatives.
  • Conduct and document initial reviews of alleged compliance violations and escalate potential findings to the Chief Compliance Officer.
  • Conduct periodic tests and audits of organizational operations.
  • Identify gaps in documentation, or potential areas of non-compliance, and suggest possible means for resolution.
  • Help research new rules and regulations and assist with implementing appropriate policies and procedures.
  • Other duties as assigned.


Job Skills:

  • Ability to communicate effectively both orally and in writing.
  • Strong attention to detail and advanced organizational skills.
  • Knowledge of compliance programs and industry requirements as they relate to registered investment advisory firms, and the financial services industry. Familiar with current compliance laws, regulations, and standards.
  • Able to work well both independently and in groups; and take ownership of assigned tasks.
  • Exceptional research and analytical skills.
  • Demonstrated ability to effectively handle multi-tasking ability, able to project management skills, and the ability to manage multiple priorities.



Computer Equipment and Software:

  • Advanced proficiency in all Microsoft Office products, including, but not limited to: Word, Excel, and Outlook.
  • Experience with Salesforce CRM system and Orion strongly desired.