Senior Compliance Analyst, Investment Advisory

Compliance Risk Opportunity in Financial Services

Senior Investment Advisory Compliance Analyst


Location:               Accepting qualified candidates in all locations and remotely

Summary:

Advisor Group is seeking a Senior Compliance Analyst to support Investment Advisory Compliance.  Under the direction of the RIA Compliance Officer, the Sr. Investment Advisory Compliance Analyst will be responsible for interpreting and applying compliance policies and procedures to business practices, the annual assessment, testing and maintenance of Policies and Procedures, regulatory filings, remediation actions, risk assessment and reporting of compliance issues within the RIA firm.  This Sr. Analyst position is involved on a day-to-day basis in interpreting and applying compliance policies and procedures to business practices.

Responsibilities:

  • Support the existing IA compliance program operating in a collaborative environment with cross-functional teams
  • Conduct risks assessments and testing of IA compliance programs
  • 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 implement compliance policies
  • Support advisors by providing guidance on RIA policy and procedures questions
  • Conduct Annual Review of the IA Compliance Program - helping to perform various testing and procedures to assess the effectiveness of compliance system throughout the year in support of the required annual reporting summary
  • Aggregation and reporting of information relating to form ADV part 1A, Forms 13F, 13H and other regulatory filings as needed
  • Assist the other members of the department with incoming field inquiries from the Compliance Hotline and mailboxes relating to all areas of IA Compliance
  • Participate in ad-hoc requests, special projects and regulatory exams
  • 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:

  • Five to seven years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution.
  • Significant experience with and understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933
  • Prior experience with Rule 206(4)7 testing
  • FINRA Series 66 (or 63 / 65) required
  • Excellent verbal and written communication skills
  • Must be proficient with MS Office and Word.  Proficiency with MS Excel is a must.
  • Strong abilities in analytical thinking, problem solving, research, and time management. Ability to think through complex Compliance issues.
  • Ability to work on assignments independently, using a high level of judgment and initiative in resolving problems and developing recommendations

Preferred Requirements:

  • FINRA Series 7 and 24 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.