Compliance Analyst

Job Summary

A company is looking for a Compliance Analyst to perform registration and licensing duties, as well as compliance testing and reporting.

Key Responsibilities

• Maintain registered persons filings and required disclosure documents for Registered Investment Advisors
• Monitor compliance program efficiency and recommend enhancements for onboarding and departing registered associates
• Conduct ongoing monitoring and analysis of investment adviser representatives to detect potential compliance violations

Required Qualifications, Training, and Education

• Undergraduate degree in business, finance, economics, accounting, or a related field
• 2+ years of experience in financial services, preferably in investment advisor compliance or operations
• Understanding of regulatory requirements for Registered Investment Advisors and their representatives
• Strong computer skills with proficiency in Microsoft Office Suite; experience with FINRA regulatory filing system preferred
• Ability to handle confidential information discreetly and adapt to a rapidly changing environment