8 Compliance Analyst Jobs in Baltimore, MD
Facet is Hiring a Compliance Analyst Near Baltimore, MD
At Facet Wealth, we put the client above all else. As a Compliance Analyst, you will live out this value by working on a daily basis with the entire Facet team to ensure that we continue to build a work environment where all issues are handled with the highest integrity, we do what is in the best interest of our clients and we ensure that we are in compliance with all regulatory requirements. We work in a fast paced environment and we're trying to disrupt the industry so your work will be critical in supporting the solutions we need to find for our clients.
Responsibilities:
- You are responsible for supporting all our critical day to day compliance responsibilities including IAR registrations, communication reviews, OBA's and more.
- You will partner with assigned business partners to directly support their day to day activity, business initiatives and compliance needs. This could include marketing programs, product development and introducing new member capabilities.
- You are a daily resource to the team on compliance questions and issues, and work with the team on ongoing needs and challenges.
- You are a key point of contact in resolving member problems and issues so we can quickly manage any situation to do what is best for our members.
- You will support our ongoing regulatory filings (ADV's are important) and member agreements.
- You will work with compliance partners, and other outside resources we use to ensure we always have an up to date and forward looking program, and solve critical problems.
- You will support the onboarding of all new hires into our compliance program.
- You are proactive in building out policies and procedures that meet the changing needs of our growing business.
- Bachelor's degree or higher
- 5 years of compliance experience with a Registered Investment Advisor
- You are willing to learn the Facet Way and understand how to support it with compliance expertise.
- You have experience in working with marketing and advertising, and have shown an ability to support teams with compliant solutions to deliver the firm's message.
- You have experience in working in operations, with custodians and understand the basics of trading.
- You have shown an ability for creative problem solving to come up with balanced solutions to meet the needs of different stakeholders.
- You have experience with audits or in doing risk assessments.
- You have superb communication, organizational and client service skills.
- You have excellent computer skills along with the ability to learn in-house software and tools
- You have the ability to provide constructive feedback: we continue to enhance our offering and rely on our team's feedback for improvement
- You are able to work independently and as a member of a team, balance multiple responsibilities simultaneously, and demonstrate exceptional time and calendar management skills
- $100,000-$120,000 base salary bonus
- Equity
- Flexible PTO
- All the benefits: medical, dental, and vision insurance, 401(k) with employer match, short and long term disability coverage (paid by Facet) & life insurance options
- Certification reimbursement program
- Work from anywhere in the US
Job Summary
Full Time
$81k-102k (estimate)
06/21/2024
07/09/2024
promo.parker.com
TULSA, OK
100 - 200
2018
GEORGE C NOLEN
$50M - $200M
Durable Manufacturing
Related Companies
The following is the career advancement route for Compliance Analyst positions, which can be used as a reference in future career path planning. As a Compliance Analyst, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Analyst. You can explore the career advancement for a Compliance Analyst below and select your interested title to get hiring information.
If you are interested in becoming a Compliance Analyst, you need to understand the job requirements and the detailed related responsibilities. Of course, a good educational background and an applicable major will also help in job hunting. Below are some tips on how to become a Compliance Analyst for your reference.
Step 1: Understand the job description and responsibilities of an Accountant.
Quotes from people on Compliance Analyst job description and responsibilities
Compliance analysts can help ensure that your organization's products or processes meet compliance specifications.
03/13/2022: Hopkinsville, KY
They can audit members of professional organizations to determine whether they meet the standards set by the organization.
03/11/2022: Fresno, CA
Most of them contribute to security designs through acquisitions and/or system developments to deliver and maintain a compliant system.
02/10/2022: Clearwater, FL
Help companies remain compliant with regulations, thus preparing them for audits.
03/13/2022: Columbus, OH
The compliance analyst has a duty to maintain legal and regulatory compliance by researching, analyzing, and communicating regulatory requirements and obtaining the appropriate approvals.
02/27/2022: Casper, WY
Step 2: Knowing the best tips for becoming an Accountant can help you explore the needs of the position and prepare for the job-related knowledge well ahead of time.
Career tips from people on Compliance Analyst jobs
Every compliance analyst has slightly different duties, tasks, and responsibilities due to varying job descriptions.
12/30/2021: Billings, MT
Smaller organizations still focus on having a single compliance specialist rather than a complete department.
01/25/2022: Santa Cruz, CA
Sometimes, the compliance analyst works along with the compliance head and other compliance officers.
01/26/2022: Denver, CO
Ability to accurately complete applications for compliance certification.
03/08/2022: Fayetteville, AR
Get Certifications and Continue Learning.
12/24/2021: Saginaw, MI
Step 3: View the best colleges and universities for Compliance Analyst.
