Investment Advisory Data Analyst

Investment Advisory Compliance Opportunity in Financial Services

IA Data Analyst
 

Location:          10 Exchange Place, Jersey City, NJ 07302

INTERNAL APPLICANTS:  All qualified internal applicants, irrespective of location, will be considered for all internally posted roles at this time.  Compensation range displayed in internal postings is the national average, and compensation decisions will be employee-location based. 

Summary:

The Investment Advisory Data Analyst works within the Investment Advisory compliance department as a lead analyst supporting the RIA Deputy Chief Compliance Officer.

Responsibilities:

  • Forensic Testing – Develop ad hoc reports to support forensic testing efforts as part of the annual review required by rule 206(4)-7. Forensic testing will be used to test for previously unidentified issues by:
    • Gaining additional insight form data or other information or evidence evaluated in new ways from current information sources, and in additional ways from new information sources
    • Determining whether currently undiscovered circumstances are in fact, present
    • Exploring uncertainties
    • Acting on one’s instincts and with skepticism, as in asking questions of “what if”, what about” or “how do we know”
  • Quality Assurance – As an extension of forensic testing, perform quality assurance on integrity of data provided by IT directly to IA compliance, or operational functions where IA Compliance has oversight.
  • Support Regulatory Inquiries – Provide support to regulatory affairs team on regulatory data requests for RIA entities.
  • Assists with special projects, including creating compliance reports based upon deficiencies and/or recommendations from regulatory inquiries.
  • Perform Monitoring & Surveillance over business processes and controls
  • All other duties as assigned

Education Requirements:

  • Bachelor's degree from a four-year college or university 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:

  • Two to five years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution.
  • Proficiency in MS Office and various other business applications
  • Strong written and verbal communication skills
  • Ability to operate effectively as part of a project team or individually

Preferred Requirements:

  • Experience in MS SQL Server, VBA, and Excel macros preferred
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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.