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Job Summary
We are seeking a knowledgeable and proactive Compliance Analyst with 2-4 years of experience at an investment advisor and specific experience with the Investment Advisers Act. The ideal candidate will assist in implementing and overseeing compliance programs to ensure adherence to SEC regulations and NewEdge Wealth’s policies and procedures. The Compliance Analyst will report directly to the Chief Compliance Officer.
Responsibilities
Skills & Qualifications
Who We Are:
EdgeCo Holdings' is made up of several affiliated companies including AmericanTCS and NewEdge Capital Group that have been providing a suite of technology and support services to financial intermediaries and their clients, including full-service retirement plan administration, wealth management, brokerage, advisory, and trust and custody solutions for over four decades.
NewEdge Capital Group provides best-in-class technology-enabled solutions and support services to financial advisors and their clients. Comprised of NewEdge Wealth, NewEdge Advisors, and NewEdge Securities, they have over $30 billion in client assets and support over 300 financial advisors servicing several thousand households, family offices and institutions comprising more than 75,000 client accounts.
What We Offer:
Compensation will be comprised of a base salary and an opportunity to qualify for bonus(es) or commissions. EdgeCo Holdings benefit package includes health, dental, vision, short-term disability, long-term disability, life insurance, PTO and 401(k) match (after applicable waiting periods).
Applications will be accepted on an ongoing basis.
Full Time
$99k-125k (estimate)
06/26/2024
07/25/2024
The job skills required for Compliance Analyst include Microsoft Office, Problem Solving, Internal Audit, Project Management, Trading, Organizational Skills, etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Analyst. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Analyst. Select any job title you are interested in and start to search job requirements.
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.
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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.