Compliance Analyst

Job DescriptionJob Description

TITLE: Compliance Analyst

Job Summary: Wealth Management company located in Glastonbury, Connecticut looking to bring on board a Compliance Analyst to join their team. This individual will help mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements related to a registered investment advisor (RIA) firm. Possesses and applies broad knowledge of concepts and principles; performs complex assignments.

  Core Responsibilities:

• Advertising review
• Administer Compliance Reporting System.
• Assist in providing regulatory oversight, risk management, and policy implementation for all investment advisory programs.
• Identify process improvements and strategies for execution to assist management with achieving compliance objectives. Implement RIA department initiatives as directed.
• Assist in providing direction and guidance to firm personnel and field associates on investment advisory compliance issues, including fiduciary responsibility, advisory regulation, and permissible activities under firm policy, SEC rules and regulations and the Investment Advisers Act of 1940.
• Assist in maintaining Form ADV Parts 1 and 2A and RIA platform Appendices. Work independently to coordinate with external departments to collect, validate and provide data required for the filings of the aforementioned ADVs.
• Assist in maintaining Policies and Procedures, Code of Ethics and overall compliance program. Assist in identifying and assessing new or changing regulatory issues and market trends; assist in developing, maintaining and effectively communicating policies and procedures.
• Support regulatory examinations as needed and assist in the implementation of new policies and procedures.
• Assist and support management related to RIA activity, compliance, and recordkeeping.
• Assist internal and external team members with research, assigned tasks and provide training as needed.
• Complete ad hoc tasks as needed by management.

Qualifications & Experience:

• Bachelor’s degree
• At least 4 years of industry experience. Alternatively, at least 2 years of experience in a compliance analyst or similar role.
• General working knowledge of the Advisers Act and SEC rules and regulations as it relates to RIAs.
• Demonstrated professional integrity
• Dependable, flexible, and adaptable to new Firm initiatives
• Ability to exercise discretion and make independent judgments on matters of significance
• Ability to work in a fast-paced small team environment
• Ability to establish and maintain effective working relationships with colleagues and clients
• Strong organizational and problem-solving skills with attention to detail
• Strong oral and written communication skills
• Proficient with Microsoft Office applications and comfortable working in a tech enabled environment

This position is hybrid requiring three days in our Glastonbury office and 2 days remote. Subject to change at management's discretion based on business and operational needs.

Company DescriptionSymmetry Partners provides independent Financial Advisors with a complete business solution, including Evidence-Based investment strategies and operational services and support. To help Advisors deliver a better client experience, we also provide marketing, technology, and business consulting.

Symmetry offers competitive salaries and benefits that include Medical, Dental, Vision, Life Insurance, Short- and Long-Term Disability, 401k, Medical and Dependent Care Flexible Spending Accounts, Paid Time Off, Employee Assistance Program, and the opportunity to work in an exciting, fast paced environment.
www.symmetrypartners.comCompany DescriptionSymmetry Partners provides independent Financial Advisors with a complete business solution, including Evidence-Based investment strategies and operational services and support. To help Advisors deliver a better client experience, we also provide marketing, technology, and business consulting.\r
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Symmetry offers competitive salaries and benefits that include Medical, Dental, Vision, Life Insurance, Short- and Long-Term Disability, 401k, Medical and Dependent Care Flexible Spending Accounts, Paid Time Off, Employee Assistance Program, and the opportunity to work in an exciting, fast paced environment.\r
www.symmetrypartners.com

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