Compliance Analyst

2 weeks ago

phoenix, United States Foundations Investment Advisors Full time

This is an in-office position in Phoenix, Arizona. Remote/hybrid apps will not be considered.


Are you a detail-oriented professional with a passion for ensuring financial integrity? Do you thrive in dynamic environments where your expertise directly influences organizational success? If you're looking for a role that challenges you and offers unparalleled growth opportunities, this is it.


About Us:

At Foundations Investment Advisors, an SEC-registered RIA based in Phoenix, Arizona, we pride ourselves on being more than just a financial firm. With our sister company, Magellan Financial, one of the top five privately owned independent insurance distribution and marketing organizations in the U.S., we've been at the forefront of financial innovation for years. Our mission is to empower elite independent financial advisors nationwide, providing them with the tools and support to deliver exceptional financial planning, tax strategies, and wealth management services. Our motto, "More. Better. Different." reflects our commitment to excellence and continuous growth.


Your Role:

As a Compliance Analyst, you'll be the linchpin ensuring our operations align with regulatory standards. Your insights will safeguard our reputation and ensure our advisors can serve clients with integrity.


Key Responsibilities:

  • Regulatory Monitoring: Stay abreast of SEC regulations, ensuring our practices remain compliant.
  • Policy Development: Craft and update internal policies to reflect current regulatory requirements.
  • Audit Coordination: Lead internal audits, identifying areas for improvement and implementing corrective actions.
  • Training & Support: Educate staff on compliance protocols, fostering a culture of accountability.
  • Risk Assessment: Analyze potential compliance risks and develop strategies to mitigate them.


What We’re Looking For:

  • Experience: Background in financial services, investment management, banking, insurance, or related fields. Familiarity with SEC or FINRA compliance is a plus.
  • Education: Bachelor’s degree in Finance, Business, Law, or a related discipline.
  • Skills: Strong analytical abilities, impeccable attention to detail, and excellent communication skills.
  • Mindset: Proactive, adaptable, and committed to upholding the highest compliance standards.


Why Join Us?

  • Impact: Play a pivotal role in a firm reshaping the financial advisory landscape.
  • Growth: Be part of a rapidly expanding organization with ample opportunities for career advancement.
  • Culture: Collaborate with a team that values innovation, integrity, and excellence.


Please note: This is an in-office position based in Phoenix, Arizona. Remote applications will not be considered.


Foundations Investment Advisors is an equal-opportunity employer. We are committed to creating an inclusive environment for all employees.

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