Compliance Analyst - Investment Advisory Compliance

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.

Compliance Analyst-Investment Advisory Compliance

The position’s main responsibilities involve supporting the Investment Advisory CCO in the development, implementation and maintenance of Janney and Janney Capital Management’s advisory compliance programs to ensure compliance with various investment adviser regulatory requirements. Additional compliance support, such as reviewing and analyzing applicable law, regulation, regulatory developments and industry best practices relevant to the firm’s business activities and assisting in the development of compliance policies, procedures and processes, will be required. The scope and responsibilities of this position will not be static. As the business needs and compliance objectives change over time, the responsibilities of this position will be expected to evolve in order to meet the changing deliverables of the department.

What You Are Good At

• Analytical ability – Able to effectively review information and data in order to identify issues and opportunities.
• Organization and Time Management – Able to structure the timing of operational workflow to reliably and accurately complete multiple tasks under frequent time constraints.
• Initiative - Proactively look for opportunities to enhance our operational procedures.
• Building Relationships– Connecting with others in a way that fosters trust and creates collaborative relationships.
  
  

Responsibilities

• Develop and administer internal program reviews to test the effectiveness of current policies/procedures/practices/Code of Ethics, compose summary testing memos and organize/prepare testing work papers;
• Identify and complete assessments on potential risk related issues concerning investment advisory related activity; present summaries of findings and metrics to management upon request;
• Conduct investment advisory compliance program related surveillance including , review activity reports on a periodic basis for purposes of ensuring compliance with firm policies and procedures and advisory program parameters;
• Revise investment advisory compliance policies and procedures on an as-needed basis;
• Identify regulatory issues and monitor regulatory developments applicable to the firm’s business;
• Support and advise our client facing business partners while developing and maintaining positive and collaborative relationships with internal business units;
• Assist with the preparation and submission of firm material in response to regulatory exams and requests;
• Assist in preparing and conducting initial and ongoing compliance training for employees, as needed;
• Ensure timely and accurate investment advisory regulatory filings (e.g., Forms ADV, 13G, 13H, 13G, and Form N-PX);
• Provide guidance to internal business partners regarding the marketing and solicitation requirements under the Investment Advisers Act of 1940 as applicable;
• Performing other compliance related tasks and projects as requested.
  
  

Experience & Skills

• Bachelor’s Degree or equivalent experience required.
• 3-5 years in compliance and/or auditing experience within the financial services industry;
• FINRA Series 7 securities license required, Series 9/10 or 24 highly desirable;
• Knowledge of securities laws, rules and regulations applicable to investment advisers and broker-dealers;
• Proven track record in planning and project management and in maintaining composure under pressure while meeting deadlines;
• General knowledge of wrap fee accounts, managed programs and analyzing and applying rules and standards under the Investment Advisers Act of 1940 strongly preferred;
• Excellent written and verbal communication, analytical and follow-up skills.
• Demonstrated ability to be flexible, responsive, and maintain a solutions-driven approach to problem-solving and business needs;
• Able to work independently and in a team environment; collaborate effectively.
  
  

Janney is dedicated to promoting and supporting diversity within our workplace. We provide an environment that promotes respect, integrity, teamwork, achievement and acceptance regardless of age, disability, education, gender, gender expression, gender identity, job level, marital status, military status, national origin, parental status, pregnancy, race, religion, sexual orientation, socioeconomic status, or other protected factors. Janney is committed to equal employment opportunities and providing reasonable accommodations to applicants with physical and/or mental disabilities.

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