The Advisory Services Compliance Analyst III is a key member of the Compliance, Advisory Services unit. The position will report to the Director, Compliance, Advisory Services. The Analyst is expected to have strong knowledge of firm policy and procedures, and specifically, the advisory services and products, as well as applicable regulations. Necessary skills include knowledge of various computer programs, time management, working well with other Home Office departments and the branches. The Analyst should be able to exercise independent thought, and be able to handle projects with minimal to no supervision. This position should be viewed as a step to the Compliance Analyst position.
- Assist with developing enhanced oversight procedures and controls around the firm’s advisory programs, including developing and running regular oversight reports for the department
- Assist with periodic reviews of the Advisory Compliance Program, including assisting with reviews relating to Code of Ethics oversight, reverse churning, journaling assets between accounts, non-eligible assets, books and records retention, etc.
- Keep up with rule changes or regulatory developments relating to investment advisers and assist with the developing controls to meet such new or modified requirements.
- Work with otherinternal departments as needed on-going maintenance issues, including, but not limited to Consulting Services, Operations, Trading, etc.
- Handle branch inquiries regarding advisory-related policies and procedures. Provide assistance to branch personnel on policies, procedures and relevant regulatory rules.
- Other duties as assigned.
- High School Diploma.
- Minimum 8years brokerage and/or investment advisory industry experience.
- Series 65 required. (or ability to sit for examination within one year).
- Demonstrated skills in organization, strong attention to detail, and the ability to meet deadlines.
- Thorough knowledge of SEC/FINRA/NYSE rules and regulations as well industry procedures.
- Demonstrated skills in negotiating, conflict management, and decision making; with the ability to deal with all levels of branch and firm associates.
- Communicate complex compliance issues, policies and procedures, in a credible and convincing manner. Also able to identify, correct and/or escalate disciplinary issues.
- Some travel by car and/or air in conjunction with local, regional and/or national travel, up to 20%.