Lead RIA Compliance Analyst

Job Summary

A company is looking for a Lead Compliance Analyst.

Key Responsibilities

• File and manage data for annual and quarterly reporting, including various regulatory forms
• Review and approve Investment Adviser Representative Disclosure Brochures and draft policies and procedures
• Conduct analysis of new regulations and provide statistical reports to senior leaders

Required Qualifications

• 3-5 years of investment advisory compliance experience required
• Bachelor's degree or equivalent combination of education and relevant experience required
• FINRA Series 7 and 65 licenses (or equivalent) required
• Strong computer skills, particularly in Microsoft Excel and Word required
• Compliance designation (CFCP, IAACP, etc.) and broker dealer compliance experience desired