Investment Compliance Analyst

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Our Newest Opportunity: 

Summary:

The Investment Compliance Analyst is responsible for a broad range of activities that support the firm's compliance oversight obligations with respect to its investment activities for OneDigital Investment Advisors. This role focuses on investment compliance surveillance, testing, and reporting, with an emphasis on maintaining the integrity of the firm's investments compliance program and ensuring adherence to applicable regulatory requirements and internal policies and procedures. This position may be located in Overland Park, Kansas or remote. 

Essential Duties and Responsibilities (includes but is not limited to): 

• Under the direction of the Senior Director of Compliance, maintain the firm's investments surveillance and testing program ("Program"), including any technology systems that are a component of such Program. 

• Monitor the efficiency and accuracy of the Program and, where appropriate, recommend enhancements or changes to the Program. 

• Perform ongoing surveillance, testing, and analysis of the firm's trading activity in order to detect (i) potential violations of (a) the firm's compliance policies and procedures and/or (b) restrictions, limitations, or policies imposed by (1) clients and/or (2) the firm's Investment Committee and/or (ii) previously unidentified material risks to the firm. Based on such findings, work with appropriate stakeholders to correct any confirmed violations and make recommendations to the Investment Committee or Chief Compliance Officer on changes to investment policy or the firm's compliance policies and procedures, respectively. 

• Prepare reporting for the Chief Compliance Officer, the Investment Committee, and/or the firm's Senior Leadership Team with respect to the status and effectiveness of the Program and the firm's compliance with its policies and procedures regarding investments. 

• Assist with required annual testing of the firm's compliance policies and procedures relating to investments, as requested. 

• Develop and maintain good working relationships with internal and external verticals and partners (investment management, trading, operations, IT, technology, etc.) and serve as a compliance liaison with members of the firm's Investment Committee. 

• Assist in responding to regulatory inquiries/examinations. 

• Stay current on relevant regulations, industry best practices, and testing methodologies. 

• Perform other assignments and/or duties as may be assigned. 

Qualifications, Skills and Requirements: 

• Working knowledge of various security types, including but not limited to equities, bonds, options, mutual funds, exchange traded funds, structured notes, variable annuities, and private placements, as well as how they are utilized in various investment strategies and financial plans. 

• Working knowledge of prohibited or restricted activities relating to investments under both the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 (ERISA). 

• Strong understanding of fiduciary governance principles. 

• Ability to interpret the impact of new laws on the firm's investment strategies and/or use of investments. 

• Self-motivated with excellent time and project management skills, including the ability to adjust priorities in response to unanticipated events and balance team and individual responsibilities; performs work accurately and completely. 

• Responsive to managerial direction; exhibits objectivity and openness to new ideas; welcomes feedback. 

• Strong verbal and written communication skills, including the ability to clearly and concisely articulate and present ideas, opinions, and information. 

• High attention to detail, strong problem-solving skills, and a high level of integrity. 

• Ability to handle business-sensitive and confidential information in a discreet manner. 

• High level of proficiency with the Microsoft Office Suite (Word, Excel, Access, etc.) including proficiency with Power BI and the ability to develop dashboards 

• Proficiency in SQL and experience using Snowflake for data extraction, transformation, and analysis. 

• Ability to manipulate raw data in order to effectively analyze investments and trading activity. 

• Ability to adapt to a rapidly changing business and technology environment. 

• Continual learner mentality. 

Education, Training and Experience: 

• Undergraduate degree in business, finance, economics, accounting, business information systems or a related field. 

• 5 or more years of experience with a financial services firm in the Investments, Trading, Operations, Technology, or Compliance departments, or as a practicing Investment Advisor Representative, or with the SEC or FINRA as a compliance examiner. 

• Previous experience with investment data analysis and reporting, compliance software systems, and/or portfolio compliance systems preferred. 

The typical base pay range for this role nationwide is $90,000 to $100,000 per year.  Your base pay is dependent upon your skills, education, qualifications, professional experience, and location. In addition to base pay, some roles are eligible for variable compensation, commission, and/or annual bonus based on your individual performance and/or the company’s performance. We also offer eligible employees health, wellbeing, retirement, and other financial benefits, paid time off, overtime pay for non-exempt employees, and robust learning and development programs. You will receive reimbursement of job-related expenses per the company policy and may receive employee perks and discounts.
To learn more, visit: www.onedigital.com/careers

OneDigital is an equal opportunity employer. Not only as a matter of standard, but to honor and celebrate our differences. We believe that the power of ONE starts with you. We are committed to cultivating and preserving a culture that celebrates diversity, insists on equity and inclusion, and connects us. Ensuring our people feel seen, valued, respected, and supported is fundamental to our core values and business goals.

OneDigital provides equal employment opportunities to all employees and applicants for employment regardless of their: veteran status, uniformed servicemember status, race, color, religion, sex, sexual orientation, gender identity, age (40 and over), pregnancy (including childbirth, lactation and related medical conditions), national origin or ancestry, citizenship or immigration status, physical or mental disability, genetic information (including testing and characteristics) or any other category protected by federal, state or local law (collectively, “protected characteristics”). A copy of the Federal EEO poster is linked here.

Pursuant to local Fair Chance Ordinances, we will consider qualified applications with arrest or conviction records for employment. For applicable candidates, the following ordinances are linked here to inform you of your rights as an applicant:

City and County of San Francsico

City of Los Angeles

County of Los Angeles

Employment decisions shall comply with all other applicable federal, state and city/county laws prohibiting discrimination in employment. OneDigital complies with all criminal history inquiry [or ‘ban the box’] laws in California, Connecticut, Colorado, Hawaii, Illinois, Maine, Maryland, Massachusetts, Minnesota, New Jersey, New Mexico, Oregon, Rhode Island, Vermont and Washington.

In short, we believe in hiring the most qualified applicant for the position, regardless of background.

If you have questions about our hiring policies and practices, we would be happy to discuss upon receiving your application. We hope to welcome you to OneDigital and look forward to hearing from you.

OneDigital understands the immense responsibility and opportunities provided by Artificial Intelligence. We utilize advanced Artificial Intelligence [AI] technologies to enhance our recruitment process. This includes using AI to filter candidates based on their qualifications and to rediscover potential candidates from our existing applicant pool. Our AI systems help us efficiently identify the best fit for our open positions, ensuring a streamlined and effective hiring experience. However, AI does not replace the humans in our process. If you have concerns about our use of AI, you may opt out where laws allow.

Thank you for your interest in joining the OneDigital team!