Senior Compliance Analyst, Investment Advisory

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Investment Advisory Opportunity in Financial Services

Sr. Compliance Analyst


Location:          10 Exchange Place, Suite 1410  Jersey City, NJ 07302

Summary:

The Sr. Compliance Analyst will assist the Deputy Chief 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. This position is involved on a day to day basis in in interpreting and applying compliance policies and procedures to business practices.

Keys:    investment advisory, compliance, IA, RIA    

Responsibilities:

  • Support the existing IA 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 implement 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:

  • At least five years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution.
  • Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933
  • Prior experience with Rule 206(4)7 testing
  • Excellent verbal and written communication skills
  • Proficiency with Windows programs: Excel, Outlook, Word
  • Strong abilities in analytical thinking, problem solving, research, and time management

Preferred Requirements:

  • FINRA Registrations: S7, S66 (or 63 and 65) a plus