Compliance Analyst

Compliance Risk Opportunity in Financial Services

Investment Advisory Compliance (IAC) Analyst


Location: Accepting qualified candidates in all locations and remotely.

Summary:

Advisor Group is seeking a Compliance Analyst to support our Investment Advisory Compliance program.  Under the direction of the RIA Compliance Officer, the Investment Advisory Compliance Analyst will be responsible for compliance implementation, training, monitoring, remediation, monitoring & testing, risk assessment and reporting of compliance issues within Investment Advisory Compliance. 

The IAC Analyst is involved on a day to day basis in in interpreting and applying compliance policies and procedures to business practices by assisting the RIA Compliance Officer in the development, implementation, monitoring and testing of the company’s compliance program to ensure that the rules, policies and regulations are followed properly.

Responsibilities:

  • Support the existing IAC surveillance program
  • Conduct risks assessments and testing of IA compliance programs
  • Perform Monitoring & Surveillance over business processes and controls
  • Analyze current IA Compliance functions and suggest enhancements and standardization, where appropriate.
  • Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements
  • Review, draft and assist the RIA Compliance Officer with the implementation of compliance procedures
  • Support advisors by providing guidance on RIA policy and procedures questions
  • Execute desktop procedures for RIA surveillance and other IAR related activities
  • All other duties as assigned

Education Requirements:

  • Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required.

Basic Requirements:

  • Minimum of two years of relevant work experience with a broker/dealer, registered investment adviser, regulatory agency, or similar financial institution.
  • FINRA Series 7 license is required.
  • Must be proficient with MS Office (Word, Excel, PowerPoint, and Outlook)
  • Excellent verbal and written communication skills.
  • Strong abilities in analytical thinking, problem solving, research, and time management.

Preferred Requirements:

  • FINRA Series 65/66 is highly desired
  • Demonstrated experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933 a plus.
  • Experience in monitoring, testing, and conducting risk assessments of investment advisory compliance activities.
Be A Part Of The Team Behind Our Success!

At Advisor Group, we support financial professionals across the nation, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Equal Opportunity Employer

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.