We are seeking an experienced, detail-oriented, and collaborative Compliance Analyst to join our Compliance team. This role is designed for a compliance professional with meaningful experience in the investment advisory industry who is ready to take on broad responsibilities within a sophisticated Registered Investment Adviser compliance program.
The Compliance Analyst will work closely with the Chief Compliance Officer (CCO), Associate Directors of Compliance, other members of the Compliance team, and business partners throughout the Firm. The position will support the administration, monitoring, testing, and ongoing enhancement of the Firm's compliance program.
The role provides exposure to a broad range of compliance functions, including regulatory filings, advertising and marketing review, electronic communications surveillance, Code of Ethics administration, compliance testing, employee training, privacy, books and records, risk assessments, and regulatory developments.
What You'll Do As a Compliance Analyst, you will:
• Support the CCO and Associate Directors of Compliance with the day-to-day administration, monitoring, and oversight of the Firm's compliance policies and procedures.
• Partner with Compliance colleagues, executive management, portfolio management, operations, and other business teams to help identify and address compliance-related matters.
• Monitor regulatory developments and assist in evaluating their potential impact on the Firm's compliance program.
• Help maintain and enhance compliance policies and procedures based on regulatory developments, compliance testing, risk assessments, business changes, and industry practices.
• Maintain required compliance books and records and support the administration and review of the Firm's record retention program.
• Assist with the review, maintenance, and implementation of privacy policies and related procedures.
• Develop and maintain compliance training materials and assist with employee compliance training and education.
• Conduct electronic communications surveillance, document review findings, and assist with appropriate follow-up and escalation.
• Support administration of the Firm's Code of Ethics, including monitoring employee personal securities transactions and other Code requirements.
• Review marketing materials, advertising, correspondence, and other communications for compliance with applicable regulatory requirements and Firm policies.
• Assist with the preparation, maintenance, and timely filing of the Firm's Form ADV and other required regulatory filings.
• Support the Firm's annual review of its compliance program pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940.
• Participate in compliance risk assessments, monitoring, testing, and reviews; document findings and assist with tracking and remediation efforts.
• Coordinate with external compliance consultants and legal counsel, as appropriate.
• Assist with regulatory examinations, inquiries, and information requests, as needed.
• Identify opportunities to improve compliance processes through technology, automation, data analysis, and artificial intelligence tools.
• Participate in special projects and other compliance initiatives as assigned by the CCO or Associate Directors of Compliance.
Required Qualifications
Candidates must meet the following minimum qualifications:
• Bachelor's degree or equivalent combination of education and relevant professional experience.
• At least four (4) years of professional compliance experience within the financial services, investment management, securities, or wealth management industry.
• At least two (2) years of direct compliance experience working for, or providing dedicated compliance support to, a Registered Investment Adviser (RIA).
• Working knowledge of the Investment Advisers Act of 1940 and applicable SEC rules, regulations, and guidance governing registered investment advisers.
• Hands-on experience with one or more core RIA compliance functions, such as: o Form ADV preparation or maintenance; o Code of Ethics administration; o advertising and marketing review; o electronic communications surveillance; o compliance testing and monitoring; o books and records requirements; o regulatory filings; or o compliance risk assessments.
• Strong attention to detail, accuracy, organization, and follow-through.
• Ability to manage multiple priorities, deadlines, and projects in a fast-paced environment.
• Strong analytical, research, problem-solving, and written communication skills.
• Ability to work independently while collaborating effectively with colleagues across the organization.
• Sound judgment and discretion when handling confidential or sensitive information.
• Proficiency with Microsoft Office applications, particularly Excel, Word, Outlook, and PowerPoint.
• Ability and willingness to learn and use new technology, including artificial intelligence tools such as ChatGPT, to support compliance research, analysis, workflow efficiency, and process improvement.
Preferred Qualifications
The following experience is preferred but not required:
• Experience with a large or multi-office Registered Investment Adviser or wealth management organization.
• Experience supporting an SEC-registered investment adviser. \
• Experience participating in SEC examinations, regulatory inquiries, or responses to regulatory information requests.
• Experience drafting, maintaining, or revising compliance policies and procedures.
• Experience conducting or supporting annual compliance reviews pursuant to Rule 206(4)-7.
• Familiarity with Tamarac, PortfolioCenter, or similar portfolio management, reporting, or wealth management platforms.
• Experience with compliance technology, workflow tools, data analytics, or automation.
• Familiarity with cybersecurity, privacy, identity theft, fraud prevention, and related regulatory risks and controls within the financial services industry.
What Makes Someone Successful in This Role
Successful candidates are experienced compliance professionals who are organized, analytical, and comfortable exercising sound judgment. They should be able to identify potential compliance issues, conduct appropriate research, document their work clearly, and communicate effectively with colleagues across different areas of the Firm. The ideal candidate will be comfortable balancing detailed compliance responsibilities with broader business considerations and will approach Compliance as a collaborative function that helps the Firm manage regulatory risk while supporting responsible business growth. This position provides meaningful exposure to a wide range of investment adviser compliance responsibilities and offers an opportunity to continue developing expertise within a growing and evolving wealth management organization.
$78,000 - $105,000 a year
What We Offer
We offer a highly competitive suite of holistic benefits designed to help our team members balance their personal and professional life commitments. These include options designed to encourage employee's health, happiness, and financial well-being.
- 11 Paid Holidays + 2 floating holidays
- 3 Weeks PTO
- Paid Volunteer Time
- Paid Parental Leave
- Flexible Work Schedule
- Highly subsidized Health, Dental, and Vision Plans
- 401k Retirement Account with company match contributions
- Free Mental Health services, Life Insurance, Long & Short-Term Disability Insurance
- Flexible Spending Accounts and Health Savings Accounts
- Employee Financial Education
- Employee Educational Expense Reimbursement
- Employee Charitable Donations
- Employee Referral Incentives
- Employee Team Building Activities
- Employee Assistance Program
