Compliance Analyst

About us

We were built on the philosophy that marketing and compliance can absolutely work in harmony and that this combined strategy would help build solid financial services firms. After 30+ years, this vision endures today. We strive to develop close relationships with a select number of financial services firms throughout the country and deliver timely, tailored, and hands-on support so that our clients are better positioned to achieve their goals while minimizing regulatory headaches.

Position Summary

We seek a Compliance Analyst with strong desire to learn and grow with our company. The Compliance Analyst's primary function is to work directly with Compliance Consultants on the completion and delivery of consulting services to the firm's advisory clients as well as the maintenance of the firm's compliance resources, materials, and systems.

Essential Duties and Responsibilities

• Assisting Compliance Consultants with completion of various compliance tasks for RIA clients including, but not limited to, disclosure documentation updates, policies and procedures reviews, email/correspondence reviews, personal securities reviews, advertising reviews, etc.
• Researching and keeping current on industry compliance regulations and requirements (SEC, DOL, Client, etc.).
• Analyzing and evaluating regulations in the context of advisory operations and compliance policies.
• Assisting with the development of advisory compliance policies and procedures.
• Updating/Creating the firm's compliance resources used with RIA clients and available for sale on the firm's Online Store.
• Developing and drafting the firm's compliance publications and content for clients and subscribers.
• Maintaining WordPress website including, but not limited to, membership tracking and content posts as well as contact management and notifications via integrated MailChimp platform.
• Assisting with RIA client State/Federal regulatory and registration/notice filing submissions.
• Maintaining the firm's RIA client and compliance resource recordkeeping system.
• Prolonged periods sitting at a desk and working on a computer.
• Other duties as assigned.

Knowledge, Skills, and Abilities

• Detail oriented with exceptional analytical abilities to understand and formulate compliance policies, procedures, and related documentation.
• Effective research skills.
• Exceptional communication and interpersonal skills.
• Strong technical skills and working knowledge of Microsoft Office software

Education & Experience

• Bachelor's degree or equivalent combination of experience and education required
• Work experience in a compliance analyst and/or surveillance role (e.g. advertising, branch office, correspondence, outside business activities, securities transactions, etc.)
• Compliance and fiduciary related examinations and certifications preferred, but not required.
• Supervisory experience preferred, but not required.
• In-depth knowledge of industry compliance requirements and standards.
• Proficiency with the Client Gateway and SEC EDGAR websites.
• Familiarity with financial services industry software (e.g. client relationship management, portfolio management, archiving solutions, surveillance and supervision software, etc.)
• Ability to successfully balance multiple projects and work priorities in a highly independent and self-directed environment.