Senior Investment Advisory Compliance Analyst

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RIA Compliance and Risk Opportunity in Financial Services

Senior Investment Advisory Compliance Analyst

Location: This position is open to qualified candidates in all locations and remote.

Summary:

The Senior Investment Advisory Compliance Analyst will be involved in a variety of compliance functions including monitoring & testing, risk assessment, training, remediation and reporting of compliance issues within the RIA firms under direction of the RIA Compliance Officer. This Senior Investment Advisory Compliance Analyst is involved on a day to day basis in interpreting and applying compliance policies and procedures to business practices.

Responsibilities:

• Support the existing Investment Advisory surveillance program
• Conduct risks assessments and testing of IA compliance programs
• Perform Monitoring & Surveillance over business processes and controls
• Analyze current IA Compliance functions and suggest enhancements and standardization, where appropriate
• Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements
• Review, draft and implement compliance procedures
• Support advisors by providing guidance on RIA policy and procedures questions
• Execute desktop procedures for RIA surveillance and other IAR related activities
• All other duties as assigned

Education Requirements:

• Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Basic Requirements:

• Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933
• Prior experience with Rule 206(4)7 testing
• Excellent verbal and written communication skills
• Must be proficient with MS Office and Word. Proficiency with MS Excel is a must
• Strong abilities in analytical thinking, problem solving, research, and time management
• Ability to think through complex Compliance issues
• Ability to work on assignments independently, using a high level of judgment and initiative in resolving problems and developing recommendations
• Strong surveillance experience

Preferred Requirements:

• FINRA Series 7 and Series 24 are preferred
• Additional FINRA licensing (Series 66 or Series 63/65) a plus
• Three to Five years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution