3 Jobs in Glastonbury, CT
Symmetry Partners LLC is Hiring a Compliance Analyst Near Glastonbury, CT
Core Responsibilities:
- Advertising review
- Administer Compliance Reporting System.
- Assist in providing regulatory oversight, risk management, and policy implementation for all investment advisory programs.
- Identify process improvements and strategies for execution to assist management with achieving compliance objectives. Implement RIA department initiatives as directed.
- Assist in providing direction and guidance to firm personnel and field associates on investment advisory compliance issues, including fiduciary responsibility, advisory regulation, and permissible activities under firm policy, SEC rules and regulations and the Investment Advisers Act of 1940.
- Assist in maintaining Form ADV Parts 1 and 2A and RIA platform Appendices. Work independently to coordinate with external departments to collect, validate and provide data required for the filings of the aforementioned ADVs.
- Assist in maintaining Policies and Procedures, Code of Ethics and overall compliance program. Assist in identifying and assessing new or changing regulatory issues and market trends; assist in developing, maintaining and effectively communicating policies and procedures.
- Support regulatory examinations as needed and assist in the implementation of new policies and procedures.
- Assist and support management related to RIA activity, compliance, and recordkeeping.
- Assist internal and external team members with research, assigned tasks and provide training as needed.
- Complete ad hoc tasks as needed by management.
- Bachelor’s degree
- At least 4 years of industry experience. Alternatively, at least 2 years of experience in a compliance analyst or similar role.
- General working knowledge of the Advisers Act and SEC rules and regulations as it relates to RIAs.
- Demonstrated professional integrity
- Dependable, flexible, and adaptable to new Firm initiatives
- Ability to exercise discretion and make independent judgments on matters of significance
- Ability to work in a fast-paced small team environment
- Ability to establish and maintain effective working relationships with colleagues and clients
- Strong organizational and problem-solving skills with attention to detail
- Strong oral and written communication skills
- Proficient with Microsoft Office applications and comfortable working in a tech enabled environment
Company DescriptionSymmetry Partners provides independent Financial Advisors with a complete business solution, including Evidence-Based investment strategies and operational services and support. To help Advisors deliver a better client experience, we also provide marketing, technology, and business consulting.
Symmetry offers competitive salaries and benefits that include Medical, Dental, Vision, Life Insurance, Short- and Long-Term Disability, 401k, Medical and Dependent Care Flexible Spending Accounts, Paid Time Off, Employee Assistance Program, and the opportunity to work in an exciting, fast paced environment.
www.symmetrypartners.com
Symmetry Partners provides independent Financial Advisors with a complete business solution, including Evidence-Based investment strategies and operational services and support. To help Advisors deliver a better client experience, we also provide marketing, technology, and business consulting. Symmetry offers competitive salaries and benefits that include Medical, Dental, Vision, Life Insurance, Short- and Long-Term Disability, 401k, Medical and Dependent Care Flexible Spending Accounts, Paid Time Off, Employee Assistance Program, and the opportunity to work in an exciting, fast paced environment. www.symmetrypartners.com
Job Summary
Full Time
$92k-116k (estimate)
05/20/2024
08/05/2024
symmetrypartners.com
Glastonbury, CT
100 - 200
Related Companies
The job skills required for Compliance Analyst include Risk Management, Initiative, Microsoft Office, Attention to Detail, Problem Solving, Written Communication, etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Analyst. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Analyst. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Compliance Analyst positions, which can be used as a reference in future career path planning. As a Compliance Analyst, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Analyst. You can explore the career advancement for a Compliance Analyst below and select your interested title to get hiring information.
If you are interested in becoming a Compliance Analyst, you need to understand the job requirements and the detailed related responsibilities. Of course, a good educational background and an applicable major will also help in job hunting. Below are some tips on how to become a Compliance Analyst for your reference.
Step 1: Understand the job description and responsibilities of an Accountant.
Quotes from people on Compliance Analyst job description and responsibilities
Compliance analysts can help ensure that your organization's products or processes meet compliance specifications.
03/13/2022: Hopkinsville, KY
They can audit members of professional organizations to determine whether they meet the standards set by the organization.
03/11/2022: Fresno, CA
Most of them contribute to security designs through acquisitions and/or system developments to deliver and maintain a compliant system.
02/10/2022: Clearwater, FL
Help companies remain compliant with regulations, thus preparing them for audits.
03/13/2022: Columbus, OH
The compliance analyst has a duty to maintain legal and regulatory compliance by researching, analyzing, and communicating regulatory requirements and obtaining the appropriate approvals.
02/27/2022: Casper, WY
Step 2: Knowing the best tips for becoming an Accountant can help you explore the needs of the position and prepare for the job-related knowledge well ahead of time.
Career tips from people on Compliance Analyst jobs
Every compliance analyst has slightly different duties, tasks, and responsibilities due to varying job descriptions.
12/30/2021: Billings, MT
Smaller organizations still focus on having a single compliance specialist rather than a complete department.
01/25/2022: Santa Cruz, CA
Sometimes, the compliance analyst works along with the compliance head and other compliance officers.
01/26/2022: Denver, CO
Ability to accurately complete applications for compliance certification.
03/08/2022: Fayetteville, AR
Get Certifications and Continue Learning.
12/24/2021: Saginaw, MI
Step 3: View the best colleges and universities for Compliance Analyst.
Similar Jobs
Popular Articles
