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Compliance Analyst
3 months ago
Harrison Gray Search
has partnered with one of the oldest, most reputable investment advisors in the country to find its next Compliance Analyst.
The Compliance Analyst is an integral member of the Compliance department that has a mission to conduct business consistent with the highest standards of commercial honor and just and equitable principles of trade. Keeping their customers' interests foremost is key to our clients' success. Compliance is an integral part of serving our customers and therefore the firm's success. The primary focus of this specific position is oversight and surveillance to protect and safeguard our client, its registered individuals, and the clients they serve. This position exemplifies our clients' core values of Integrity, Service is Personal, One Team, Communication, and Initiative by communicating with employees regularly, maintaining confidentiality, performing assigned duties ethically, and being a key support structure within the Compliance team. By being an active, collaborative, and engaged employee, this role provides room for growth and advancement opportunities.
This full-time role reports to the Chief Compliance Officer. Working hours are Monday - Friday 8:30 AM to 5:00 PM EST. This role is open to be located in any office with hybrid flexibility (Boston, MA; Alexandria, VA; Naples, FL; Phoenix, AZ; Westport, CT; Winter Park, FL).
Role Responsibilities
Conduct onsite/remote branch reviews as part of risk-based internal branch examination process
Perform daily trade blotter review and approval with a focus on exception reports
Assist with performing firm's annual supervisory controls and verification testing
Review, investigate, and clear all daily Trade Summary Monthly, Account Periodic, and Account Rank surveillance reports
Review and approve Advertising/Sales Literature/Public Speaking/Trade Corrections, Annuities, and Direct Business, etc. on RedOak
Perform investigations of potential violations of industry and firm policies, procedures and best practices (document findings and report to CCO)
Conduct email, instant messaging, social media, and other electronic communication surveillance in accordance with firm policy and involve Branch Management as needed
Monitor Firm and Regulatory Element Continuing Education training
Research and respond to regulatory information requests
Work closely with Branch Managers on investigations involving trading activity in their respective branches
Review and oversee active/inactive accounts, advisor account cash balances, and Quarterly Fees
Enhance and implement Compliance policies, processes, and procedures
Organize outside brokerage account approvals and review trading activity in employee outside accounts
Serve as administrator for various compliance applications such as Bridger, Red Oak, Red Ed, Smarsh, LinkedIn etc.
Keep abreast of changes in regulatory rules and guidelines
Send various approved firm letters and notifications to customers, as needed
Organize and maintain content on Compliance Intranet site
Maintain Compliance files for the Department
Take initiative in career growth by engaging in provided development opportunities
Be an active culture carrier within teams and contribute to a positive team morale
Other projects as assigned
Key Measurements
Ability to build rapport with internal and external contacts
Thoroughness and accuracy of assigned task including but not limited to branch exams, controls testing, continuing education and social media oversight
Accomplishment of annual organizational, team and personal goals as communicated by management
Minimum Requirements
Bachelor's degree in a business related field
At least 2-5 years in a compliance or risk role for a broker dealer and/or investment advisor
FINRA Series 7, 24, and 63/66
Confident in using Microsoft Office Suite and Google Suite
Strong interpersonal skills
Ability to maintain confidentiality
Prior experience with compliance-related monitoring systems
Up to 10% domestic travel for branch exams
Competent in the following Knowledge, Skills, and Abilities:
Customer Service
Attention to detail
Clerical Work
Reading, Writing, and Oral Expression and Comprehension
Basic Math
Social Perceptiveness
Time Management
Empathy
Critical Thinking and Problem Solving
Deductive and Inductive Reasoning
Social Media
Preferred Requirements
Experience using DocuSign and Adobe Acrobat
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