Compliance Analyst

JOB DESCRIPTION

JOB TITLE: Compliance Analyst

EMPLOYER: Signature Estate and Investment Advisors

DEPARTMENT: Compliance

REPORTS TO: Senior Director, Compliance

LOCATION: Cleveland, Los Angeles (Hybrid)

EFFECTIVE DATE: 8/1/2024

SUMMARY:

We are seeking a motivated individual eager to join our compliance department. This role offers the opportunity to learn and grow, working with data sets and coordinating correspondence. As we expand our team, you can join us unlicensed, and we will provide the necessary development. There are opportunities to work at both regional and home office levels, offering a chance to gain a comprehensive understanding and valuable experience in compliance. This position will monitor and maintain the firm’s existing supervisory systems. The Compliance Analyst will assist the compliance team with testing, monitoring and administering the firm’s compliance program as it relates to supervisory oversight and due diligence review of the duties and responsibilities of a Registered Investment Advisor, Broker Dealer and Insurance companies. The ideal candidate will have a general understanding of investments.

DUTIES AND RESPONSIBILITIES:

• Perform initial reviews of risk and compliance reports. Able to generate summaries of data to help produce insights from large data sets.
• Help track follow-ups as and provide visibility on status of risk and control assessment activities.
• Prepare presentations for executive management, committees, and other stakeholders.
• Prepare and submit regulatory filings.
• Perform research to determine appropriate compliance measures. Ability to present research in a clear and insightful manner.
• Assist with the implementation of new regulations and related requirements.
• Perform strategic testing and audits of compliance infrastructure.
• Maintenance for document library.
• Provide general and project-based support for the Compliance Department.
• Performs other related duties as assigned by management.

SUPERVISORY RESPONSIBILITIES:

• This job has no supervisory responsibilities.

QUALIFICATIONS:

• Bachelor's Degree (BA) from four-year college or university, or one to two years of related experience and/or training.
• Required Series SIE, 7, 66 (or equivalent). Series 24, 4, 53 required within 1 year of hire
• Computer skills required: (Database Software (Access); Spreadsheet Software (Excel); Order Processing Systems; Project Management Software; Word Processing Software (Word); Electronic Mail Software (Outlook); Presentation software (PowerPoint); and Publisher software.

COMPETENCIES:

• Diversity - Demonstrates knowledge of EEO policy; Shows respect and sensitivity for cultural differences; Educates others on the value of diversity; Promotes a harassment-free environment; Builds a diverse workforce.
• Ethics - Treats people with respect; Keeps commitments; Inspires the trust of others; Works with integrity and ethically; Upholds organizational values.
• Adaptability - Adapts to changes in the work environment; Manages competing demands; Changes approach or method to best fit the situation; Able to deal with frequent change, delays, or unexpected events.
• Analytical - Synthesizes complex or diverse information; Collects and researches data; Uses intuition and experience to complement data; Designs work flows and procedures.
• Business Acumen - Understands business implications of decisions; Displays orientation to profitability; Demonstrates knowledge of market and competition; Aligns work with strategic goals.
• Change Management - Develops workable implementation plans; Communicates changes effectively; Builds commitment and overcomes resistance; Prepares and supports those affected by change; Monitors transition and evaluates results.
• Cost Consciousness - Works within approved budget; Develops and implements cost saving measures; Contributes to profits and revenue; Conserves organizational resources.
• Delegation - Delegates work assignments; Matches the responsibility to the person; Gives authority to work independently; Sets expectations and monitors delegated activities; Provides recognition for results.
• Design - Generates creative solutions; Translates concepts and information into images; Uses feedback to modify designs; Applies design principles; Demonstrates attention to detail.
• Initiative - Volunteers readily; Undertakes self-development activities; Seeks increased responsibilities; Takes independent actions and calculated risks; Looks for and takes advantage of opportunities; Asks for and offers help when needed.
• Innovation - Displays original thinking and creativity; Meets challenges with resourcefulness; Generates suggestions for improving work; Develops innovative approaches and ideas; Presents ideas and information in a manner that gets others' attention.
• Interpersonal Skills - Focuses on solving conflict, not blaming; Maintains confidentiality; Listens to others without interrupting; Keeps emotions under control; Remains open to others' ideas and tries new things.
• Oral Communication - Speaks clearly and persuasively in positive or negative situations; Listens and gets clarification; Responds well to questions; Demonstrates group presentation skills; Participates in meetings.
• Organizational Support - Follows policies and procedures; Completes administrative tasks correctly and on time; Supports organization's goals and values; Benefits organization through outside activities; Supports affirmative action and respects diversity.
• Planning/Organizing - Prioritizes and plans work activities; Uses time efficiently; Plans for additional resources; Sets goals and objectives; Organizes or schedules other people and their tasks; Develops realistic action plans.
• Problem Solving - Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Develops alternative solutions; Works well in group problem solving situations; Uses reason even when dealing with emotional topics.
• Professionalism - Approaches others in a tactful manner; Reacts well under pressure; Treats others with respect and consideration regardless of their status or position; Accepts responsibility for own actions; Follows through on commitments.
• Project Management - Develops project plans; Coordinates projects; Communicates changes and progress; Completes projects on time and budget; Manages project team activities.
• Quality - Demonstrates accuracy and thoroughness; Looks for ways to improve and promote quality; Applies feedback to improve performance; Monitors own work to ensure quality.
• Strategic Thinking - Develops strategies to achieve organizational goals; Understands organization's strengths & weaknesses; Analyzes market and competition; Identifies external threats and opportunities; Adapts strategy to changing conditions.
• Teamwork - Balances team and individual responsibilities; Exhibits objectivity and openness to others' views; Gives and welcomes feedback; Contributes to building a positive team spirit; Puts success of team above own interests; Able to build morale and group commitments to goals and objectives; Supports everyone's efforts to succeed.
• Technical Skills - Assesses own strengths and weaknesses; Pursues training and development opportunities; Strives to continuously build knowledge and skills; Shares expertise with others.
• Written Communication - Writes clearly and informatively; Edits work for spelling and grammar; Varies writing style to meet needs; Presents numerical data effectively; Able to read and interpret written information.