Compliance Analyst

Integrity Compliance Consulting, Inc. (“ICC”) is a rapidly growing compliance consulting firm that provides compliance solutions to small and mid-sized registered investment advisers. ICC seeks an entry-level compliance analyst will be responsible for working with existing clients that are part of our ongoing compliance support programs to registered investment advisers. The position will be responsible for maintaining the client relationships through regular interaction by executing ICC’s customized compliance solutions.

Position Summary

• As an analyst, you will conduct regularly scheduled monitoring of the registered investment advisers’ compliance programs, including trade reviews, risk assessments, policies and procedures updates and reviews, internal control testing and more.
• The environment is busy with strict deadlines.
• The required skills are strong analytical thinking, problem solving ability, time management, effective communication (verbal and written), and organization. 
• You will report to the Director of SEC Compliance.

Essential Duties and Responsibilities

• Knowledge of registered investment adviser compliance rules and the Investment Advisers Act of 1940
• Participate and provide support with periodic audits including investigative reviews, analysis, and evaluation of targeted sample data to help mitigate or identify compliance issues, unusual trends or outcomes with a firm's policies and procedures.
• Assists with internal operational, financial and compliance audits, to determine whether controls are adequate and effectively maintained in accordance with a firm's policies and procedures for regulatory compliance.
• Maintain detailed documentation of assumptions, methodologies and information sources utilized during the performance of all analytical tasks and audit work steps.
• Collects audit data, analyzes, compiles, and reports results.
• Documents internal control deficiencies and regulatory exceptions and notifies the Director of SEC Compliance of identified areas needing improvement or correctional training.
• Keeping abreast of regulatory and business practice updates.
• This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. Employees will be required to perform any other job-related duties assigned by their supervisor or management.

The ideal candidate will demonstrate the following knowledge and skills:

• Self-starter with the ability to work under limited supervision
• Exceptional writing and proof reading skills
• Strong analytical experience and skill set to analyze large datasets.
• Ability to create charts and graphs to affectivity depict relevant data outcomes.
• Inquisitive in nature with strong work ethic.
• Team oriented, collaborative, diplomatic and flexible.
• Meticulous and detailed oriented and forward-thinking mindset.
• Able to work well under pressure.
• Strong written and verbal communication skills.

Qualifications

• Bachelor’s degree preferred, OR an associate’s degree in finance, compliance, accounting, or other related area required, AND at least one-year relevant work experience.
• Strong MS Office skills, particularly Excel, Word, PowerPoint, SharePoint.
• 1 - 3 years’ experience with compliance, and auditing background particularly finance, compliance, performance audits and data analysis skills.

Work Environment

• First 30 – 90 days of employment will be in an office environment to train.
• After, 100% remote work.

Physical Demands

• The employee may move about the office complex, may travel to other office locations, and may lift, push, pull or move 10-15 pounds.

We know there's a lot to consider. As you go through the application process, our recruiters will be glad to provide guidance, and more relevant details to answer any additional questions. Thank you again for your interest in Integrity Compliance Consulting. We'll hope to see you onboard soon!