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Compliance Analyst

RFG Advisory

Compliance Analyst

Birmingham, AL
Full Time
Paid
  • Responsibilities

    COMPLIANCE ANALYST

    RFG Advisory is looking for an experienced, self-starter, and solutions-driven professional to join our compliance team to help oversee our growing and dynamic advisory business.

    Reporting to the Chief Compliance Officer, the successful candidate will perform a critical role of ensuring accurate and effective surveillance of our investment advisory activity and support of our third-party broker/dealer relationship.

    The Compliance Analyst will assist in identifying, investigating, and resolving potential sales practice issues related to retail client activity. The position requires extensive interaction with Advisors throughout the firm's platform, and the firm's corporate resource groups. Knowledge of investment products, and practices, and comprehensive knowledge of Investment Advisory rules is strongly desired. 

    This position will work a hybrid schedule 3-days in-office, 2 days remote. RFG will supply you with a Surface Pro and home workstation.

    What you will be doing:

    • Effectively review and analyze exception reports, and other information sources, designed to identify issues related to investment advisory transactions and account management. Resolving issues as necessary and consulting with Advisors in short to intermediate term engagements.
    • Maintain Firm data used in ADV filing including our branch locations, web sites, phones, faxes, etc.
    • Investigate and resolve questionable transactions, activity, and funds movements in client accounts.
    • Serve as a compliance resource for the branch system.
    • Serve as an escalation point for reviewing complicated activity and transactions.
    • Periodically review new accounts and exceptions.
    • Support marketing/advertising reviews, provide communication/social media surveillance.
    • Participate with the Compliance team in projects and discussions with Advisors across firm's spectrum of offerings.
    • Work closely with the Director of HR and Transition Manager in collecting and uploading all required onboarding paperwork
    • Maintain the firm's Roster as onboarding and offboarding occurs.
    • Perform other tasks as assigned or requested.
    • Periodically deliver evaluations or written recommendations to improve administrative operations

    What makes this a great opportunity:

    • Fast paced environment that will enable you to grow as a professional.
    • Unique culture that values diverse backgrounds and perspectives while emphasizing teamwork and a strong sense of partnership.
    • Support and flexibility to grow and be your best at work, at home, and in the community.

    What we are looking for:

    • 3-5 years of brokerage/investment advisory compliance, supervision, or operations experience.
    • Bachelor's degree or equivalent of education and work experience.
    • Detailed knowledge of investment products and investment advisor laws, rules, and regulations.
    • Work experience with Orion and major custodial back-office platforms.
    • Strong verbal and written communication skills.
    • Demonstrated investigative/surveillance experience.
    • Proficient with technology including Microsoft Office products.
    • Ability to work independently and manage multiple priorities simultaneously.
    • Technologically savvy individual who enjoys learning new programs and is motivated by identifying solutions that will make processes simpler, faster, better.
    • Series 7, & 65/66 registrations REQUIRED.
    • Series 24 registration preferred.

    What's in it for you?

    • Health, Dental and Vision Insurance with company stipend
    • 401(k) + Safe Harbor contribution
    • Short-term and Long-term Disability + Life Insurance
    • Dependent Care FSA and Medical FSA
    • Generous PTO, Company Holidays & Charitable Work Day
    • Maternity/Paternity leave
    • Surface Pro + Home setup provided
    • Continuing Education support
    • Loads of RFG Swag

    This is a great opportunity to be a part of a growing team in a fast-paced and changing industry. Our team members consistently rave about our culture, teamwork, support of leadership and the collaboration that happens amongst our functional teams. So, if you are looking for a fun group of people to work with in an ever changing, never a dull moment organization, please apply!