Lead RIA Compliance Analyst

Job Summary

A company is looking for a Lead Compliance Analyst to manage regulatory compliance programs.

Key Responsibilities

• File and manage data for annual and quarterly reporting including various Forms
• Compile data, coordinate meetings, and draft minutes for the Best Execution Committee
• Act as subject matter expert on compliance with the Investment Advisers Act of 1940

Required Qualifications

• 3-5 years of investment advisory compliance experience
• Bachelor's degree or equivalent combination of education and experience
• FINRA Series 7 and 65 licenses required
• Ability to work without direct supervision
• Strong computer skills, particularly in Microsoft Excel and Word