Compliance Analyst

Essential Functions and Primary Duties

Regulatory Compliance (Broker-Dealer & RIA)

• Assess, develop, implement, and ongoing maintenance of compliance programs in accordance with SEC, FINRA, and applicable state regulations.
• Conduct and own ongoing monitoring, reviews, and testing of business activities to identify potential compliance risks and issues.
• Help lead the Compliance and Operations teams with the preparation, review, and timely filing of regulatory reports and disclosures, including Form ADV, Form CRS, FINRA filings, and state regulatory submissions.
• Support regulatory examinations, audits, and inquiries by preparing documentation, responding to requests, and coordinating with internal compliance stakeholders.

• Review marketing, advertising, and client communications for regulatory compliance, and support RIA leadership with go-to-market initiatives.

Corporate Compliance

• Support compliance with corporate policies and programs, including but not limited to insider trading, RFPs, business continuity planning (BCP), records retention, and anti-bribery and anti-corruption requirements.
• Help lead the administration, monitoring, and ongoing effectiveness of corporate compliance policies and programs across business units.
• Support and enforce the codes of ethics, conflicts of interest processes, investigations, and whistleblower programs.
• Participate in enterprise risk management (ERM) and compliance risk assessments.
• Assist in the development, maintenance, testing, and documentation of internal controls related to compliance and corporate governance.
• Support Board of Directors and committee reporting, including preparation of compliance summaries, metrics, and materials.
• Assist and develop policy governance, including drafting, reviewing, updating, and distributing corporate compliance policies and procedures.

Skills & Continuous Improvement

• Demonstrated strategic problem-solving skills, including the design, implementation, and execution of compliance solutions in complex regulatory and corporate environments.
• Experience supporting the development, implementation, and oversight of compliance automation, ensuring alignment with legal, regulatory, and industry best practices.
  • Provide governance and oversight of automated compliance tools and processes.
  • Support training, monitoring, and ongoing effectiveness testing of compliance programs.
• Proactively enhance compliance processes and support the continuous evolution of compliance programs through automation, data analytics, and best-practice improvements.
• Collaborate effectively with internal stakeholders, including Legal, Finance, Risk, Operations, Technology, Internal Audit, and Business Unit leaders, to integrate compliance into daily business operations.
• Assist in delivering clear, well-documented, and actionable compliance reporting to senior management and the Board of Directors.
• Identify potential system, process, and internal control gaps, and support remediation efforts.
• Have sound ethics and understanding of necessary discretion as well as good use of independent judgement

Preferred Qualifications

• 4+ years of experience in compliance, risk, or operational functions.
• Experience working with SEC and FINRA-regulated entities.
• Relevant compliance licenses or professional designations.
• Excellent research, writing, analytical, and organizational skills.
• Strong ethical judgment and a high level of professionalism.
• Demonstrated ability to communicate verbally and in writing throughout all levels of the organization as well as external partners
• Ability to manage competing deadlines, including regulatory and business-driven timelines.
• Familiarity with the Investment Advisers Act of 1940 and Broker-Dealer regulations and practices.
• Possession of, or willingness to obtain, required FINRA Series licenses.
• Experience supporting audits or regulatory examinations

Minimum Qualifications

• HS diploma or GED required; Bachelor's degree in Business, Economics, Statistics or relevant field preferred
• 3 years of relevant experience
• Must possess analytical skills
• Must be able to comprehend, manipulate and interpret statistical data
• Demonstrated ability to communicate verbally and in writing throughout all levels of organization, both internally and externally
• Proficient use of applicable technology