About the roleReporting to the Chief Compliance Officer, this role will conduct compliance monitoring, testing, risk assessments, regulatory reporting, and examination support. The Senior Compliance Analyst will collaborate across the organization to ensure policies, disclosures, and business practices meet regulatory requirements and industry standards. Our firm includes an SEC-registered investment adviser, a registered investment company, and trust companies regulated in Nebraska and South Dakota.
What you'll do- Support SEC and state regulatory examinations, communications, information requests, and remediation activities.
- Research regulations affecting investment advisers, registered funds, trust companies, and wealth management businesses.
- Conduct compliance monitoring, surveillance, testing, and risk assessments; document findings and track corrective actions.
- Maintain regulatory records, the compliance calendar, and the enterprise compliance management platform.
- Prepare or support Form ADV and other federal and state regulatory filings.
- Review client disclosures, account documents, trust agreements, investment policy statements, and donor-advised fund proposals.
- Update compliance policies and procedures to address regulatory and business developments.
- Support compliance training, audits, independent reviews, and reporting to management and governance bodies.
- Provide practical compliance guidance and participate in reviews of new products, services, vendors, and operational changes.
- Promote a strong culture of compliance through sound judgment, collaboration, and proactive communication.
Qualifications- Bachelor's degree in business, finance, accounting, law, risk management, or a related field.
- Five or more years of relevant compliance, regulatory, audit, risk, securities, investment advisory, registered fund, trust, or financial-services experience.
- Experience supporting regulatory examinations and interacting with federal or state regulators.
- Knowledge of regulations governing investment advisers, registered investment companies, trust companies, or wealth management organizations.
- Experience with compliance testing, risk assessments, regulatory filings, policies and procedures, or issue remediation.
- Strong analytical, research, communication, organizational, and documentation skills.
- Ability to manage multiple priorities, exercise sound judgment, protect confidential information, and collaborate across the organization.
- Proficiency with Microsoft Office and compliance, document-management, or regulatory-filing systems.
- Professional certification such as IACCP, CRCP, CRCM, or a comparable designation is preferred but not required.
