What are the responsibilities and job description for the Financial Compliance Analyst - OR - On Site position at Vensure Employer Services?
About us
We were built on the philosophy that marketing and compliance can absolutely work in harmony and that this combined strategy would help build solid financial services firms. After 30 years, this vision endures today. We strive to develop close relationships with a select number of financial services firms throughout the country and deliver timely, tailored, and hands-on support so that our clients are better positioned to achieve their goals while minimizing regulatory headaches.
Position Summary
We seek a Compliance Analyst with strong desire to learn and grow with our company. The Compliance Analyst's primary function is to work directly with Compliance Consultants on the completion and delivery of consulting services to the firm's advisory clients as well as the maintenance of the firm's compliance resources, materials, and systems.
Essential Duties and Responsibilities
- Assisting Compliance Consultants with completion of various compliance tasks for RIA clients including, but not limited to, disclosure documentation updates, policies and procedures reviews, email / correspondence reviews, personal securities reviews, advertising reviews, etc.
- Researching and keeping current on industry compliance regulations and requirements (SEC, DOL, Client, etc.).
- Analyzing and evaluating regulations in the context of advisory operations and compliance policies.
- Assisting with the development of advisory compliance policies and procedures.
- Updating / Creating the firm's compliance resources used with RIA clients and available for sale on the firm's Online Store.
- Developing and drafting the firm's compliance publications and content for clients and subscribers.
- Maintaining WordPress website including, but not limited to, membership tracking and content posts as well as contact management and notifications via integrated MailChimp platform.
- Assisting with RIA client State / Federal regulatory and registration / notice filing submissions.
- Maintaining the firm's RIA client and compliance resource recordkeeping system.
- Prolonged periods sitting at a desk and working on a computer.
- Other duties as assigned.
Knowledge, Skills, and Abilities
Education & Experience
