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.

PLEASE NOTE: This is NOT an IT Compliance position. We are NOT looking for candidates with IT experience.

SEC/FINRA Compliance Analyst Primary Function:

We seek an SEC/FINRA Compliance Analyst with strong desire to learn and grow with the firm. The SEC/FINRA 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.

SEC/FINRA Compliance Analyst 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, FINRA, 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.
• Other duties as assigned.

SEC/FINRA Compliance Analyst Requirements:

• Bachelor’s degree or equivalent combination of experience and education required

• Work experience in a compliance analyst and/or surveillance role (e.g. advertising, branch office, correspondence, outside business activities, securities transactions, etc.)

• Compliance and fiduciary related examinations and certifications preferred, but not required.

• Supervisory experience preferred, but not required.

• In-depth knowledge of industry compliance requirements and standards.

• Proficiency with the FINRA Gateway and SEC EDGAR websites.

• Familiarity with financial services industry software (e.g. client relationship management, portfolio management, archiving solutions, surveillance and supervision software, etc.)

• Ability to successfully balance multiple projects and work priorities in a highly independent and self-directed environment.

• Detail oriented with exceptional analytical abilities to understand and formulate compliance policies, procedures, and related documentation.

• Effective research skills.

• Exceptional communication and interpersonal skills.

• Strong technical skills and working knowledge of Microsoft Office software

WORK ENVIRONMENT

• Some remote work and flexible schedule options are available
• Prolonged periods sitting at a desk and working on a computer.
• Must be able to lift up to 30 pounds at times.
• Hearing, vision, and speaking in normal ranges

COVID-19

The health and safety of our employees and their families is our top priority. We require vaccination as a condition of employment. We will make reasonable accommodations for candidates who cannot be vaccinated because of a disability, pregnancy, or religious belief. If you believe you qualify for an exception, please speak with the hiring manager and be prepared to provide documentation.

BENEFITS

• Hybrid work schedule with 2 days remote per week
• 2 weeks of PTO
• 401k plan provided
• Medical, dental, and vision plans provided upon request with employer contribution

NOTE

This job description in no way states or implies that these are the only duties to be performed by the employee(s) of this position. Employees will be required to follow any other job-related instructions and to perform any other job-related duties requested by any person authorized to give instructions or assignments. All duties and responsibilities are essential functions and requirements and are subject to possible modification to reasonably accommodate individuals with disabilities. To perform this job successfully, the employee(s) will possess the skills, aptitudes, and abilities to perform each duty proficiently. Some requirements may exclude individuals who pose a direct threat or significant risk to the health or safety of themselves or others. The requirements listed in this document are the minimum levels of knowledge, skills, or abilities. This document does not create an employment contract, implied or otherwise, other than an at will relationship.

The Company complies with all applicable federal and state laws, including Equal Employment Opportunity, Employee Polygraph Protections, and Family Medical Leave Act.

Learn more here: https://www.eeoc.gov/poster,

https://www.dol.gov/agencies/whd/posters/employee-polygraph-protection-act,

https://www.dol.gov/general/topic/benefits-leave/fmla