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Regulatory Compliance Analyst

2 months ago

Chicago, Illinois, United States Addison Group Full time

Regulatory Compliance Analyst

Location: 100% Remote – Will be working on EST or CST time.

Industry: Wealth Management

Pay: $30 - $35/hr

About Addison Group:

Addison Group is a distinguished firm in the wealth management industry, dedicated to delivering extensive investment and financial planning solutions. As they expand their workforce, they are seeking a Regulatory Compliance Analyst to ensure adherence to all regulatory standards while assisting the firm's advisors and clientele.

Position Overview:

The Regulatory Compliance Analyst will oversee compliance procedures associated with employee onboarding and offboarding, manage FINRA U-4 and U-5 submissions, and uphold the firm's compliance documentation. This position requires collaboration with multiple departments to guarantee regulatory compliance and foster the firm's growth and operational effectiveness.

Key Responsibilities:

  • Work alongside team members to deliver a streamlined compliance experience for advisors and clients.
  • Oversee the onboarding and offboarding processes for employees, including the management of FINRA U-4 and U-5 submissions.
  • Maintain and refresh compliance documentation, including firm and producer insurance licenses.
  • Evaluate and authorize various employee disclosures, such as social media and brokerage accounts.
  • Assist in the onboarding of new advisor teams and contribute to compliance-related initiatives.
  • Coordinate the distribution of examination study materials and manage examination schedules for employees.
  • Address and resolve compliance support inquiries promptly, ensuring timely feedback.
  • Develop and sustain compliance desk procedures.

Qualifications:

  • A minimum of 3 years of experience in a professional office setting, ideally within wealth management or a related field.
  • Prior experience with a registered investment advisor and/or broker-dealer.
  • Exceptional written and verbal communication skills, with meticulous attention to detail.
  • Proficiency in Microsoft Office applications.
  • Basic understanding of SEC and FINRA regulations.
  • Experience with broker-dealer operations is advantageous.

Additional Information:

  • Contract Length: 3 months+, assistance needed during peak periods.
  • Hours: 9 AM - 5 PM

Benefits:

  • Opportunity to work remotely while supporting a leading wealth management firm.
  • Gain valuable experience in compliance within a dynamic industry.