Compliance Analyst

Job Type

Full-time

Description

HB Wealth ("HB") is a leading fee-only financial planning and investment advisory firm headquartered in Atlanta, GA, with two other offices in the metro-Atlanta area and additional offices in Palm Beach Gardens, FL, Tampa, FL, Nashville, TN, Columbia, SC, Augusta, GA, Towson, MD, and Columbia, MD. Established in 1989, HB’s employees work together collaboratively from all locations to provide comprehensive financial planning and investment management services primarily to high-net-worth individuals. Total client assets under management are over $18 billion as of December 31, 2024. At HB we pride ourselves on creating a healthy work environment where everyone is respected and valued, and we are continually looking for talented individuals with a passion to learn, grow, collaborate, and bring new ideas to our firm.

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We seek a Compliance Analyst to work out of our Atlanta, GA office!

Description Of Position

This is a newly created position to support our tremendous growth. As a compliance analyst, you will be an integral part of the Risk and Compliance team in keeping our firm and client safe. The analyst will be responsible for various risk and compliance responsibilities including interpreting and applying risk and compliance policies and procedures to business practices, annual assessments, testing and maintenance of Policies and Procedures, regulatory filings, remediation actions, risk assessment, and reporting of risk and compliance issues within.

This role is an individual contributor reporting to the Chief Compliance Officer. This is an excellent opportunity for someone who is a self-starter, results-oriented and leverages a creative mindset for solving risk and compliance challenges.

Role And Responsibilities

• Assists the CCO and/or CRO with the administration of the Securities and Exchange Commission (SEC) investment adviser compliance program
• Provide support to the compliance program with the ongoing monitoring, reporting and testing of the SEC Compliance program to make modifications that will prevent, detect and correct securities laws violations and mitigate risks to the firm.
• Assist with drafting and amending policies and procedures to reflect the current business practices of the firm and the rules that govern them
• Conduct weekly email reviews to ensure compliance with the Books and Records Rule 204-2(a)(7)
• Prepare and submit initial and annual registration paperwork through IARD for the Investment Advisory firm and individual registered advisory representatives
• Work closely with the marketing department to review marketing materials and other firm deliverables for compliance with regulatory requirements
• Support the administration of the firm's Code of Ethics through an automated compliance monitoring system. This includes monitoring employee personal trading, new hire compliance documentation and quarterly and annual Code of Ethics Reporting
• Assist with firm regulatory filings and annual Surprise Custody Exam
• Ensure compliance with regulations and controls by conducting research of various rules, reviewing risk alerts and other compliance publications, and participating in industry conferences and webinars
• Coordinate, prepare, and take minutes for meetings
• Provide support in maintaining Compliance management tools and systems, risk logs, risk matrix, etc.
• Participate in ad-hoc requests, special projects, regulatory exams and/or other duties as assigned
• This role may require up to 20% travel during the month
  
  

Requirements

• Bachelor’s degree required; business-related field preferred
• At least 2-5 years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution.
• Experience with the Investment Advisers Act of 1940, Investment Company Act of 1940, and Securities Act of 1933
• Experience with Rule 206(4)7
• 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
  
  

Benefits

• 17 days annual PTO 11 annual holidays observed
• 401k match
• Strong day 1 eligible benefits offering; medical, dental, vision, telemed, disability,
• Paid Maternity/Paternity leave
• Fun and welcoming office environment with monthly and quarterly events
• Ability to work remotely 20%
• Cell phone stipend
  
  

Equal Opportunity Employer M/F/D/V