Sr. Investment Advisory Compliance Analyst

Compliance Risk Opportunity in Financial Services

Senior Investment Advisory Compliance Analyst


Location(s):     

20 E Thomas Road, Phoenix, AZ  85012

2300 Windy Ridge Parkway, Atlanta, GA  30339 

7755 Third Street North, Oakdale, MN  55128

10 Exchange Place, Jersey City, NJ 07302

877 Executive Center Drive West, St. Petersburg, FL 33702

12325 Port Grace Blvd, La Vista, NE 68128

**Remote candidates will be considered

Summary:

The Senior Investment Advisory Compliance Analyst will be involved in a variety of compliance implementation, training, monitoring, remediation, monitoring & testing, risk assessment and reporting of compliance issues within the RIA firm, under direction of the RIA Compliance Officer.  This position is involved on a day to day basis in in interpreting and applying compliance policies and procedures to business practices.

Why Advisor Group?

  • Competitive salary and annual bonus paid based on performance
  • Generous time off package, including paid time off, paid holidays, and paid time to volunteer in the community
  • Immediate access to extensive benefits package that includes medical, dental and vision coverage, basic life insurance, long and short-term disability coverage and much more
  • 401(k) match from day one of employment
  • Referral bonuses if we hire your referred applicants to our open positions
  • An enriching and engaging career in financial services – our employees overwhelmingly report that they find meaning and purpose in their day to day work
  • Executive leader access and interaction in all our locations due to flat structure, open office environments, town halls and speed mentoring events
  • New, professional, and collaborative working environment where parking is provided

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:

  • FINRA Series 66 or 65 required
  • Strong surveillance experience
  • 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
  • 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:

  • Series 7 and 24 preferred.
  • 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.
Be A Part Of The Team Behind Our Success!

At Advisor Group, we support more than 11,000 financial advisors, 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.