Senior Compliance Analyst

The Senior Compliance Analyst will play a critical role in ensuring that the Registered Investment Advisor (RIA) firm operates in full compliance with regulatory requirements across its multi-state locations in the U.S. This position involves monitoring, analyzing, and enforcing compliance policies and procedures, providing expertise to maintain the firm’s adherence to SEC, state regulations, and industry best practices.

Primary Duties:

• Conduct routine compliance audits to ensure adherence to SEC and state regulatory requirements, documenting findings and recommending corrective actions.
• Prepare and file regulatory reports, including Form ADV, Form U4/U5, and state-specific filings, ensuring accuracy and timeliness.
• Maintain and update the firm’s compliance policies and procedures, ensuring alignment with current regulations and best practices.
• Collaborate with team members to conduct compliance training for staff, fostering a culture of regulatory awareness and adherence.
• Monitor and analyze changes in regulatory requirements, assessing their impact on the firm and recommending necessary adjustments.
• Investigate and resolve compliance issues, escalating matters as necessary to the Chief Compliance & Legal Officer or Responsible Executive.
• Oversee the firm’s Code of Ethics adherence, managing personal securities transactions and attestations.

Requirements:

• Minimum of 5 years of experience in compliance within a Registered Investment Advisor (RIA) or similar financial services firm.
• In-depth knowledge of SEC and state RIA regulatory requirements, including familiarity with Form ADV and other compliance documentation.
• Strong analytical and organizational skills, with the ability to manage multiple tasks and meet strict deadlines.
• Excellent communication and interpersonal skills to effectively collaborate with staff at all levels.
• Bachelor’s degree in Finance, Business Administration, or a related field preferred.
• Preference given to candidates with Series 65 or 66.

Key Benefits

• Generous continuing education support
• 100% company paid employee only premiums for Health, Dental & Vision Coverage
• 4% Company 401k match, 100% vested